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Procedures Manual
ADMINISTRATION
VOLUME 2:
VOLUME 3:
VOLUME 4:
SAFETY
VOLUME 5:
ENVIRONMENTAL / PERMITS
VOLUME 6:
GARY J. CARDAMONE
NOVEMBER 2009
MANUAL NO.:
PREFACE
The Port of Long Beach (POLB) Construction Management Division (CMD) is responsible for
managing all construction contracts awarded by the POLB.
The Construction Management Division Procedures Manual (CMDPM) is intended as a resource
for all Construction Management Division personnel. The CMDPM provides a standardized
approach for: administering POLB construction contracts; providing Quality Assurance;
obtaining and managing professional service contracts; and the general administration of the
Construction Management Division.
The purpose of the CMDPM is to:
Define the roles and responsibilities for the individuals involved in a process
Provide the detailed steps involved in a process
Describe how the CMD interfaces with other Bureaus/Divisions
Provide an orientation and training reference for new CMD staff and consultants
The CMDPM is not a contract document. It does not impose any obligations or requirements on
contractors. Also, this manual cannot cover every possible scenario or circumstance that might
occur. It is intended to provide policy and procedure guidelines to supplement an individuals
knowledge, experience, and judgment.
Each Section of the CMDPM is issued and revised independently. A summary of the current
version status for each Section can be found in the Table of Contents. A current updated
master copy of this manual is stored on N:\Construction-Inspection Group\CMD Procedures
Manual. It is the responsibility of the manual owner to ensure they have the most current
version of each Section.
The CMDPM is a living document. All CMD personnel are encouraged to provide feedback on
ways to improve the manual, refine procedures, or include additional procedures where
appropriate. Any proposed modifications to the manual should be sent to the Director of
Construction Management.
Gary J. Cardamone
Director of Construction Management
iii
Preface - VER 01
11/20/09
VER
Date
VOLUME 1: ADMINISTRATION
1.1. INTRODUCTION ................................................................................................. 01
11/20/09
11/20/09
1.3.1.
1.3.2.
1.3.3.
11/20/09
1.4.1.
1.4.2.
1.4.3.
1.4.4.
1.4.5.
1.4.6.
1.4.7.
1.4.8.
1.4.9.
2.1.1.
2.1.2.
2.1.3.
2.1.4.
2.2.1.
2.2.2.
2.2.3.
2.2.4.
2.2.5.
2.3.1.
2.4.1.
2.4.2.
11/20/09
11/20/09
TABLE OF CONTENTS
Section
VER
2.4.3.
2.4.4.
2.4.5.
2.4.6.
2.4.7.
2.4.8.
2.4.9.
2.4.10.
Date
06/28/10
2.5.1.
2.5.2.
2.5.3.
2.5.4.
2.5.5.
2.5.6.
2.5.7.
2.5.8.
2.5.9.
2.5.10.
2.5.11.
2.5.12.
2.5.13.
2.5.14.
2.5.15.
2.5.16.
2.5.17.
2.5.18.
2.5.19.
2.5.20.
2.5.21.
2.5.22.
2.5.23.
2.5.24.
12/18/09
02/05/10
2.6.1.
2.6.2.
2.6.3.
2.6.4.
2.6.5.
2.6.6.
2.6.7.
3.
01/24/13
02/05/10
12/18/09
06/28/10
12/18/09
12/18/09
vi
TABLE OF CONTENTS
Section
VER
Date
3.3.1.
3.3.2.
3.3.3.
3.3.4.
3.3.5.
3.3.6.
3.3.7.
3.3.8.
3.3.9.
3.3.10.
3.3.11.
3.3.12.
3.3.13.
3.3.14.
Dredging ............................................................................................ 01
Railroad Track ..................................................................................... 02
Striping .............................................................................................. 01
Fencing ..............................................................................................
Electrical .............................................................................................
Storm Drain ........................................................................................ 01
Sewers ...............................................................................................
Cement Treated Base (CTB).................................................................
Street Lighting and Traffic Signals ........................................................
Landscape and Irrigation .....................................................................
Engineering Fabrics .............................................................................
Microtunneling and Jacking ..................................................................
Painting and Coating ...........................................................................
Harbor Development Permits ...............................................................
11/20/09
06/28/10
11/20/09
06/28/10
3.4.1.
3.4.2.
3.4.3.
3.4.4.
3.4.5.
3.4.6.
3.4.7.
3.4.8.
3.4.9.
3.4.10.
3.4.11.
3.4.12.
3.4.13.
3.4.14.
3.4.15.
12/18/09
06/28/10
VOLUME 4: SAFETY
4.1. GENERAL .........................................................................................................
4.2. DUTIES AND RESPONSIBILITIES .............................................................................
4.3. MANAGING CONSTRUCTION PROJECT SAFETY HAZARDS ...............................................
4.4. CONTRACTOR JOBSITE ACCIDENT ..........................................................................
4.5. VISITORS TO JOBSITE .........................................................................................
4.6. JOBSITE HAZARD ASSESSMENT ..............................................................................
4.7. SITE SPECIFIC SAFETY MANUALS ...........................................................................
vii
TABLE OF CONTENTS
Section
VER
Date
6.
6.1.1.
6.1.2.
6.1.3.
6.1.4.
6.1.5.
6.1.6.
6.2.1.
6.2.2.
6.2.3.
6.2.4.
6.2.5.
6.2.6.
6.2.7.
6.2.8.
viii
ABBREVIATIONS / ACRONYMS
AA
Administrative Analyst
CPR
AC
Asphalt Cement
CR
Constructability Review
ACI
CRSI
ACOE
CSP
ACTO
CTB
ADPICS
CWO
CWR
AQMD
AREMA
Cx
Commissioning
CxA
Commissioning Agent
ASTM
DBE
DCC
DCC IN
DCC OUT
DCHE
DCM
Director of Construction
Management
Demob
De-mobilization
DI
Deputy Inspector
DPO
DWG
Drawing
E&O
ED
EEC
AWS
BHC
BIC
Ball-in-Court
BIM
BMP
BPO
C/AT
City Attorney
C/AU
City Auditor
CAB
CBC
CCC
EIR
CCDS
ENV-PLN
CCR
CHE
FAMIS
CI
Chief Inspector
FD
Front Desk
CJP
FIO
CM
Construction Manager
FY
Fiscal Year
CMB
GIS
CMD
GP
General Provision
CMDPM
HAZMAT
Hazardous Materials
HDP
CMU
CO
Change Order
HR
Inspector
COLA
ICC
COLB
CPC
JV
Journal Voucher
LBFD
CPCO
LBGD
ix
ABBREVIATIONS / ACRONYMS
LBHD
Post-Con
Post-Construction
PPE
LD
Liquidated Damages
LEED
Pre-Con
Pre-Construction
PT
Post Tensioning
LI
Lead Inspector
QA
Quality Assurance
LS
Lump Sum
QC
Quality Control
MCN
RACS
MLLW
RAR
Mob
Mobilization
MOU
Memorandum of Understanding
RCSC
MT
REJ
Rejected
MTBM
REV
Revision / Revised
MUR
RFC
MWO
RFI
RFP
NDT
Nondestructive testing
NEC
RFQ
RM
Risk Management
NEMA
RWQCB
NET
No Exceptions Taken
SBE
NFPA
NIOSH
SN
Stop Notice
SNR
SOQ
Statement of Qualifications
SOV
Schedule of Values
SP
Special Provision
SSI
SSPWC
Sub-Req.
Sub-Requisitions
SWPPP
T&M
TMD
TSR
USCG
UT
Ultrasonic Testing
VER
Version
VSBE
WATO
WPS
NPDES
NTE
Not-to-Exceed
NTP
Notice to Proceed
O&M
OSHA
OT
Overtime
OTM
PCC
PHL
PI
Principal Inspector
PM
Program Manager
PO
Purchase Order
POCN
POCO
POLA
POLB
FLOWCHART SYMBOLS
Flowchart Layout:
Role / Position
Procedure Name
Process Symbols:
Symbol
Name
Description
Process
D.x
D.x
Procedure
Reference
D.x
SubProcess
Decision
Indicates a question. The flow lines out of the symbol will indicate
which alternate path to take based on the answer to the question.
D.x
D.x
D.x
D.x
Document
MultiDocument
Expedition/
Computer
Process
Flow Line
START
Start
Terminal
END
End
Terminal
or
Or Gate
and
And Gate
On-Page
Connector
Off-Page
Connector
Annotation
D.3
Distribution:
and/or
Copy Routing:
xi
VER 01
12/18/09
Volume 2 - Construction
Project Management
2.4
Procurement / Pre-Construction Phase
Date
01
11/20/09
Approved By:
Gary J. Cardamone
Director of Construction Management
REVISION HISTORY:
VER
Date
Summary of Changes
Page 1 of 1
2.4 - VER 01
2.4.1
Procurement / Pre-Construction Phase Checklist
INDEX:
Section
Page
A. Flowchart .................................................................... 2
B. Purpose and Policy Overview ........................................ 3
C. Roles and Responsibilities ............................................. 3
D. Procedure ................................................................... 4
E. Exhibit(s)
1. Procurement / Pre-Construction Checklist ................. 5
DOCUMENT APPROVAL:
VER
Date
01
11/20/09
Approved By:
Gary J. Cardamone
Director of Construction Management
REVISION HISTORY:
VER
Date
Summary of Changes
Page 1 of 7
2.4.1 - VER 01
2.4.1
Procurement / Pre-Construction Phase Checklist
A. FLOWCHART
Page 2 of 7
2.4.1 - VER 01
2.4.1
Procurement / Pre-Construction Phase Checklist
B. PURPOSE AND POLICY OVERVIEW
The purpose of the Procurement/Pre-Construction Phase Checklist is to provide Construction
Management Team members with a quick summary reminder of activities that occur during
the Procurement and Pre-Construction Phases, and provide a status summary for
supervisors and managers to ensure activities are completed in a timely manner.
A Procurement/Pre-Construction Phase Checklist shall be filled out for all construction
contracts. The Construction Manager assigned to the project is responsible for filling out
the checklist and obtaining the status of the various items in the checklist from the project
team members. However, every project team member is encouraged to use the checklist as
a reference.
This Section refers to the policies and procedures for the checklist only. Policies and
procedures for the various items within the checklist may be found under their associated
Section in the CMD Manual.
C. ROLES AND RESPONSIBILITIES
1. Front Desk: Provide status of tasks for which they are responsible.
2. DCC: Provide status of project file set-up.
3. Administrative Analyst: Provide status of contract execution and Business License.
4. Lead Inspector: Provide status on Quality Management Plan.
5. Principal Inspector: Provide status on Quality Management Plan.
6. Construction Manager: Complete the Checklist and ensure all items are completed in a
timely manner. Obtain status updates from the various individuals responsible for
completing the tasks. Notify CM Supervisor of issues preventing the timely completion
of any item.
7. CM Supervisor: Review checklist periodically. Verify completion of items, and sign final
Checklist. Assist in resolving issues as necessary.
8. DCHE I: Provide status of On-Call Inspection & Material Testing Services.
9. DCHE II: Provide status of contract award. Review checklist periodically.
10. DCM: Provide status of contract award. Review checklist as necessary. Receive final
copy.
Other Bureau/Division Roles:
1. PM: Provides status during Bidding Phase, Plan Check/Permit information, and Charge
Point and Capital Work Order funding status.
2. PM Admin Controls: Provides status of contract execution.
Page 3 of 7
2.4.1 - VER 01
2.4.1
Procurement / Pre-Construction Phase Checklist
D. PROCEDURE:
1. The DCM assigns a CM to a project.
2. The CM obtains a copy of the most current Procurement / Pre-Construction Phase
Checklist (Form: CHKLST-PRECON) from N:\Construction-Inspection Group\Construction
Forms\Chklst-PreCon (version date).xlsx.
3. The CM inputs the date each item is complete as soon as the item is complete. For
items the CM is not directly responsible for completing, the CM obtains status updates
from the responsible party.
4. The CM notifies the CM Supervisor of issues delaying the timely completion of any item.
5. The CM provides a copy of the Checklist to the CM Supervisor as requested.
6. Once all items have been completed, the CM signs the final version and gives to the CM
Supervisor.
7. The CM Supervisor verifies completion of each item and signs the final Checklist.
8. The CM routes a copy of the signed final Checklist to the CM Supervisor, DCHE II, DCM,
and file.
9. The CM includes a copy of the signed final Checklist with draft copy of the Notice to
Proceed.
E. EXHIBIT:
1. Procurement / Pre-Construction Phase Checklist
(File: N:\Construction-Inspection Group\Construction Forms\Chklst-PreCon (version
date).xlsx)
Page 4 of 7
2.4.1 - VER 01
2.4.1
Procurement / Pre-Construction Phase Checklist
Exhibit 1: Procurement / Pre-Construction Phase Checklist
Page 5 of 7
2.4.1 - VER 01
2.4.1
Procurement / Pre-Construction Phase Checklist
Page 6 of 7
2.4.1 - VER 01
2.4.1
Procurement / Pre-Construction Phase Checklist
Page 7 of 7
2.4.1 - VER 01
2.4.9
Pre-Construction Meeting
Page
A.
Flowchart .................................................................................. 2
B.
C.
D.
Procedure ................................................................................. 4
E.
Exhibits..................................................................................... 6
1. Pre-Construction Meeting Agenda Template (Page 1 of 5) ......... 7
2. Pre-Construction Meeting List of Invitees Template .................. 8
DOCUMENT APPROVAL:
VER
Date
01
6/28/10
Approved By:
Date
Summary of Changes
Page 1 of 8
2.4.9 - VER 01
2.4.9
Pre-Construction Meeting
A. FLOWCHART
Pre-Construction Meeting
DCM
CM Supervisor
CM
START
D.1
D.1
Track Status of
Contract Execution.
Notify CM when fully
executed.
Is Contract
fully Executed?
NO
YES
D.2
D.4
D.5
Review and
Comment
D.3
Review and
Comment
D.6
Finalize Pre-Construction
Meeting Agenda and list of
invitees
D.9
D.9
Sign
Prepare Wage
Requirements and
Retention of Monies
letters
D.7
Send agenda to
Contractor and remind
Contractor of items they are
responsible for bringing to
Pre-Con Meeting
D.10
D.11
D.12
Create CD for
Contractor
Conduct Pre-Construction
Meeting
D.13
D.14
Distribution:
DCC (original to project file) Chief Surveyor
CM
Program Manager
CM Supervisor
Terminal Service Rep
DCHE II
SBE Administrator
DCHE I
Contractor
Chief Inspector
Designer
Principal Inspector
(meeting attendees)
Construction Inspector
D.14-16
DCC OUT
Distribute Meeting
Minutes
(Go to CMDPM 2.2.3)
END
Page 2 of 8
2.4.9 - VER 01
2.4.9
Pre-Construction Meeting
B. PURPOSE AND POLICY OVERVIEW
The purpose of the Pre-Construction Meeting is to:
Introduce the project participants and establish key staff interfaces
Review the projects scope of work and preliminary schedule
Discuss coordination and conflicts with other projects and third-parties
Discuss impacts to the tenants and/or public
Discuss the Contractors approach and key issues
Review environmental requirements
Review project administrative requirements
A Pre-Construction Meeting shall be conducted on all construction contracts after the
contract is fully executed and prior to Notice to Proceed.
C. ROLES AND RESPONSIBILITIES
Construction Management Division:
1. Administrative Support Section: Prepare Wage Requirements and Retention of Monies
letters, obtain MUR from SBE Office, create CD of Administrative documents for
Contractor, and discuss Administrative requirements at Pre-Construction meeting.
2. Chief Inspector: Attend Pre-Construction Meeting.
3. Construction Manager: Responsible for completing all requirements of the PreConstruction Meeting process. Coordinate with key attendees and schedule meeting,
create meeting Agenda, chair Pre-Construction Meeting, generate and distribute meeting
minutes.
4. CM Supervisor: Review and comment on draft Agenda and list of invitees. Attend PreConstruction Meeting.
5. DCC: Stamp, file index, scan, and file meeting minutes.
6. Deputy Chief Harbor Engineer I: Attend Pre-Construction Meeting as necessary.
7. Deputy Chief Harbor Engineer II: Attend Pre-Construction Meeting as necessary.
8. Director of Construction Management: Review and sign Administrative documents,
review and comment on draft Agenda and invitees, attend Pre-Construction Meeting.
9. Inspector: Attend Pre-Construction Meeting.
10. Principal Inspector: Attend Pre-Construction Meeting.
Page 3 of 8
2.4.9 - VER 01
2.4.9
Pre-Construction Meeting
Other Bureaus/Divisions:
1. Program Manager: Attend Pre-Construction Meeting.
2. SBE Office: Discuss SBE requirements at Pre-Construction Meeting.
D. PROCEDURE
1. Begin Pre-Construction Meeting process once the Contract is fully executed.
2. The CM coordinates with the Contractor, DCM, and Inspector to determine a mutually
agreeable meeting date and time, and reserves an appropriately sized conference room.
NOTE: Allow enough time for the Contractor and the Administrative Support
Section to prepare for the meeting (typically one-week). Review the Contract
documents to determine any project-specific Pre-Construction Meeting
requirements.
3. The CM prepares a draft Pre-Construction Meeting Agenda and list of invitees, and
routes for review. The Agenda template is located in N:\Construction-Inspection
Group\Construction Forms\Pre-Con Agenda (version date).docx. (See Exhibit 1)
a. The Agenda template should be modified to reflect the project-specific issues
and concerns. Agenda topics include:
Part 1
1)
2)
3)
4)
5)
Impacts the project will have to the Ports tenants or the general public
6)
Part 2
1)
2)
3)
4)
5)
Page 4 of 8
2.4.9 - VER 01
2.4.9
Pre-Construction Meeting
6)
Processing RFIs
7)
Processing submittals
8)
9)
Page 5 of 8
2.4.9 - VER 01
2.4.9
Pre-Construction Meeting
12. The CM chairs the Pre-Construction Meeting. The CM should arrive early to set up the
room, and bring the following items to the meeting:
a. Sign-in sheet and pen
b. Copies of the Agenda
c. Display of the project for the wall
d. Business cards
13. The CM prepares the meeting minutes in Primavera Contract Manager in the Meeting
Minutes module (see Quick Reference Guide for Primavera Contract Manager), and
prints and signs the original. Meeting minutes should be prepared as soon as possible
after the meeting, and include all relevant hand-outs from the meeting.
14. The CM distributes the meeting minutes to all invitees, regardless of their attendance at
the meeting. Meeting minutes should be distributed within one-week of the PreConstruction meeting. Distribute a pdf copy of the meeting minutes via e-mailing
whenever possible.
15. The CM gives the original signed meeting minutes and any back-up documents or handouts from the meeting to the DCC.
16. The DCC stamps, indexes, scans, attaches in Contract Manager (DCC OUT), and files in
the project file (File Index 05).
E. EXHIBITS
1. Pre-Construction Meeting Agenda Template (Page 1 of 5)
2. Pre-Construction Meeting List of Invitees Template
Page 6 of 8
2.4.9 - VER 01
2.4.9
Pre-Construction Meeting
Exhibit 1: Pre-Construction Meeting Agenda Template (Page 1 of 5)
Page 7 of 8
2.4.9 - VER 01
2.4.9
Pre-Construction Meeting
Exhibit 2: Pre-Construction Meeting List of Invitees Template
Page 8 of 8
2.4.9 - VER 01
2.5.1
Notice to Proceed
INDEX:
Section
Page
A. Flowchart .................................................................... 2
B. Purpose and Policy Overview ........................................ 3
C. Roles and Responsibilities ............................................. 3
D. Procedure ................................................................... 3
E. Reference.................................................................... 5
F. Exhibits
1. Notice to Proceed Checklist ..................................... 6
2. Notice to Proceed Template ..................................... 7
3. Notice to Proceed Sample........................................ 8
DOCUMENT APPROVAL:
VER
Date
01
12/18/09
Approved By:
Gary J. Cardamone
Director of Construction Management
REVISION HISTORY:
VER
Date
Summary of Changes
Page 1 of 8
2.5.1 - VER 01
2.5.1
Notice to Proceed
A. FLOWCHART
Notice to Proceed
Admin Support
Section
CM
CM Supervisor /
DCHE II
DCM
START
D.1
Is Contract
Executed & copies
distributed?
D.1
Obtain Executed
Contract &
distribute copies
NO
YES
D.2
Discuss NTP
Date with
Contractor &
DCM
D.3
Complete
& sign Notice to
Proceed Checklist
Form: CHKLST-NTP
D.4
D.5
Prepare
draft NTP in Contract
Manager Letters
Module using Notice
to Proceed template
D.6
Route draft
NTP, CHKLST-NTP,
CHKLST-PRECON,
& RM Insurance
Approval form
D.6.b
D.6.a
D.7
D.6.c
D.8
Finalize NTP on
Letterhead
D.9-11
DCC OUT
Mail or hand-deliver
to Contractor
(Go to CMDPM
2.2.3)
END
Sign
D.5.b
Distribution:
Admin Analyst I
Principal Inspector
Assistant Admin Analyst I
Inspector(s)
Admin Aid
Program Manager
Deputy Chief Harbor Engineer II Design Engineer
Deputy Chief Harbor Engineer I Director of Risk Management
Chief Inspector
SBE/VSBE Office
Chief Surveyor
Real Estate (if applicable)
Construction Manager
Record Center
Page 2 of 8
2.5.1 - VER 01
2.5.1
Notice to Proceed
B. PURPOSE AND POLICY OVERVIEW
Once the contract is fully executed, a written Notice to Proceed (NTP) is issued to the
Contractor to commence the work and start the contract time as defined in Special Provision
Time of Completion and Liquidated Damages. The Notice to Proceed date is the first day
of the contract time.
A Notice to Proceed shall be issued on every construction contract. A separate NTP may
need to be issued for milestones which are not linked to the initial NTP.
The Notice to Proceed should be issued on a timely basis soon after the contract is fully
executed, but no later than 90-days after Conditional Award by the Board of Harbor
Commissioners (unless the Specification defines the Contractors bid guarantee period
differently). An NTP issued after the bid guarantee period requires the Contractor provide a
written guarantee of the original bid, or negotiate any increase in cost associated with the
delay (i.e. material price escalation, working in a less favorable season, etc.).
C. ROLES AND RESPONSIBILITIES
Construction Management Division
1. Front Desk: Copy, distribute, and mail final Notice to Proceed.
2. DCC: Scan, log, and file final Notice to Proceed.
3. Administrative Support: Review draft Notice to Proceed.
4. Construction Manager: Responsible for the Notice to Proceed process. Draft the Notice
to Proceed, complete the Notice to Proceed Checklist, and finalize the Notice to Proceed.
5. CM Supervisor: Review draft Notice to Proceed. Verify Notice to Proceed Checklist.
6. DCHE II: Review draft Notice to Proceed, verify Notice to Proceed Checklist (if there is
no CM Supervisor assigned to project).
7. DCM: Review draft and sign Notice to Proceed.
Other Bureaus/Divisions
1. PM: Discuss issues related to delaying NTP (if applicable).
D. PROCEDURE
1. Begin the Notice to Proceed process after the contract is fully executed.
2. The CM discusses the NTP date with the Contractor to allow the Contractor to
coordinate operations and mobilization. Because time is of the essence, any request
Page 3 of 8
2.5.1 - VER 01
2.5.1
Notice to Proceed
from the Contractor to delay to the NTP date should be discussed with the Director of
Construction Management and the Program Manager.
3. The CM completes and signs the Notice to Proceed Checklist. A copy of the most
current checklist can be found on N:\Construction-Inspection Group\Construction
Forms\Chklst-NTP (version date).xlsx.
4. The CM Supervisor (or DCHE II) verifies items in Checklist are complete and signs
Checklist.
5. The CM prepares a draft Notice to Proceed in Contract Manager using the Notice to
Proceed template in the Letters Module. See Exhibit 1 for the NTP template and Exhibit
2 for an example of an NTP with multiple milestones.
a. When calculating the required completion, the effective date of the NTP is the
first contract day. For example, a one calendar day contract would start and end
on the NTP effective date (12:00 a.m. to 11:59 p.m).
b. The cc list should include, at a minimum, the following:
Admin Analyst I
Principal Inspector
Inspector(s)
Admin Aid
Program Manager
Design Engineer
Chief Inspector
SBE/VSBE Office
Chief Surveyor
Construction Manager
Record Center
6. The CM routes the draft Notice to Proceed along with a copy of the Notice to Proceed
Checklist and a copy of the Risk Management approval form. The routing order is as
follows:
a. Admin Analyst I
b. CM Supervisor (or DCHE II if a CM Supervisor is not assigned)
c. Director of Construction Management
7. The CM finalizes the Notice to Proceed on POLB letterhead.
8. The DCM signs the Notice to Proceed.
9. If hand-delivering the NTP, the CM prepares a transmittal indicating the NTP was handdelivered with a receipt line for the Contractors signature. The CM gives the Front Desk
a copy of the NTP, and DCC a copy of the NTP and transmittal with the Contractors
signature.
Page 4 of 8
2.5.1 - VER 01
2.5.1
Notice to Proceed
10. The Font Desk distributes the copies. If original NTP is not hand-delivered, the Front
Desk mails the Notice to Proceed and distributes one copy to DCC.
11. The DCC stamps, indexes, scans, enters into Contract Manager, and files a copy in the
project file.
E. REFERENCE
1. General Provision 5.02 (1991).
2. Special Provision Time of Completion and Liquidated Damages.
F. EXHIBITS
1. Notice to Proceed Checklist
2. Notice to Proceed Template
3. Notice to Proceed Sample
Page 5 of 8
2.5.1 - VER 01
2.5.1
Notice to Proceed
Exhibit 1: Notice to Proceed Checklist
Page 6 of 8
2.5.1 - VER 01
2.5.1
Notice to Proceed
Exhibit 2: Notice to Proceed Template
Page 7 of 8
2.5.1 - VER 01
2.5.1
Notice to Proceed
Exhibit 3: Notice to Proceed Sample
Page 8 of 8
2.5.1 - VER 01
2.5.17
Change Management
Ensure appropriate personnel and management are involved in the evaluation and
decision process
Provide equitable and fair adjustments to the contractor for cost and schedule impact
The Change Management Section is divided into the following sub-sections for easy reference:
2.5.17.1
2.5.17.2
2.5.17.3
2.5.17.4
2.5.17.5
2.5.17.6
2.5.17.7
2.5.17.8
2.5.17.9
2.5.17.10
2.5.17.11
2.5.17.12
Page 1 of 73
2.5.17 - VER 02
2.5.17
Change Management
DOCUMENT APPROVAL:
REVISION HISTORY:
VER
Date
Summary of Changes
Updated Board of Harbor Commissioners
Approval Procedures
Updated Role of the Ports Contract
Compliance Section
Deleted Delay Costs Paragraph
Completed RFP Negotiations Section
Completed Time and Material Compensation
Section
Incorporated use of CPMIS (Construction
Project Management Information System) to
manual, removed references to Contract
Manager
Added procedures for change orders resulting
in a contract amendment
Made minor clarifications to Additive Change
Order items, Unilateral Change Order
and Home-Office overhead text
Addressed minor typographical and formatting
errors
Page 2 of 73
2.5.17 - VER 02
2.5.17.1
Change Management
Change Management Overview
2.5.17.1
All changes to the contract require a change order (CO), even if the change results
in no additional cost or time.
A Contractor Pending Change Order (CPCO) may be issued, subject to the approval
of the Director of Construction Management (DCM), to provide the written
authorization to proceed with a change, so long as it is within the Executive
Directors authority limit (see CPCO procedure). However, CPCOs must be
incorporated into a formal Change Order in order to pay the Contractor for the work.
On limited occasions and when included in the contract documents, some contracts
include Allowance and/or Contingency bid items for specific types of changes as
defined in the contract. Change work covered under an Allowance or Contingency
bid item must be authorized by a Work Authorization Task Order (WATO) (see
WATO procedure). Because Allowance and Contingency bid items are included in
the contract price, WATOs can be paid on the monthly contractor invoice.
Whenever possible, it is preferable to obtain a lump sum cost proposal, evaluate the
proposal merit including analysis of time and schedule impact, and negotiate a lump
sum cost proposal and an agreed upon time impact before the changed work is
started. If the work must proceed immediately on a time and material, not-toexceed basis, the rationale shall be documented and the agreement of final costs
resolved with the contractor prior to close out of the CPCO/CO.
A close-out change order is issued at the end of the project to balance the contract
unit price bid item quantities , unused allowance and contingency bid items, unused
or excess CPCO authorization amounts, and unused or excess estimated amounts
previously issued in Change Orders, with the actual quantities and amounts utilized
on the project.
Resolution and final costs for work completed on a time and material basis shall
occur upon completion of the work and should not be reserved for the time of
executing the close-out change order. Cumulative change orders in excess of 25%
of the original contract amount require a supplemental agreement (Amendment),
which needs to be approved by the Board of Harbor Commissioners if the revised
contract amount exceeds $100,000.
Reference General Conditions Article 7 Changes in the Work, and other applicable
Special or Technical Provisions for specific contract requirements.
Page 3 of 73
2.5.17 - VER 02
2.5.17.1
Change Management
Change Management Overview
B. Roles and Responsibilities
Construction Management Division:
1. Administrative Support Section: Update the Purchase Order to reflect approved
Change Orders.
2. Inspection Section: Notify CM of issues or potential changes. Provide QA inspection
of changed work. Track Time & Material changes in the field. Ensure changes are
reflected on the red-line drawings.
3. Construction Management Section: Change Management process owner. Evaluate
merit of change order requests and claims, and analyze cost and time impacts to the
contract. Negotiate with the Contractor subject to authorization by the Director.
Prepare change management documents (RFP, CPCO, WATO, Change Order).
Prepare independent cost estimates and assessment of potential schedule impact of
extra work. Track WATO authorizations and expenditures to ensure the Allowance
and Contingency bid item amounts are not exceeded. Track change order
authorizations and expenditures to ensure the Executive Director authority is not
exceeded. Prepare Board of Harbor Commissioners memos requesting authorization
for change. Keep project team members and CMD management informed of issues
and potential changes.
4. Director of Construction Management: Authorize WATOs up to the Contract bid item
amounts. Authorize CPCOs up to the delegated Executive Director Authority
amount. Report to Bureau Management and Executive Management on potential
and pending changes. Present Change Order requests to the Engineering and
Environmental Committee and the Board of Harbor Commissioners.
5. Front Office: Track the routing of Change Orders and BHC memos. Copy and
distribute.
Other Bureaus/Divisions:
1. Program Management Division: Authorize discretionary Owner Initiated Changes.
Monitor performance of the design consultant relative to Change Management.
Review and initial Change Orders. Supplement the Capital Work Order to fund
Change Orders as necessary.
2. SBE Office: Review SBE/VSBE participation in Change Orders where appropriate.
3. Risk Management Division: Review insurance requirements for Contract
Amendments, and ensure insurance is maintained for contract time extensions and
through the acceptance of the contract.
4. Engineering & Environmental Committee: Review change requests, CWO
supplements, and Budget revisions submitted by POLB staff and make
recommendations to the Board of Harbor Commissioners.
Page 4 of 73
2.5.17 - VER 02
2.5.17.1
Change Management
Change Management Overview
5. Board of Harbor Commissioners: Approve cumulative changes over $100,000 (or an
amount previously authorized by the Board). Ratify Executive Director Change
Orders and restore the Executive Director authority to $100,000.
6. Contract Compliance Section: Monitor change order and contract amendment
activity. Review proposed revisions to change management procedures. Responsible
for performing periodic audits including project documentation and change
management activity.
Other City Departments:
1. City Attorney: Prepare Supplemental Agreements (as necessary). Advise CMD as
requested regarding the law and interpretation of the contract regarding changes
and/or claims. Resolve claims through litigation (if necessary).
2. City Auditor: Receives a copy of Change Orders and conducts an independent
review and audit.
C. Change Authority
The Executive Director (ED) has the authority to execute change orders for a
construction contract up to a cumulative total of $100,000, exclusive of credits. This
authority covers multiple change orders so long as their total is less than $100,000.
If the sum of the change orders exceeds $100,000, staff must request the Board of
Harbor Commissioners for additional change order authority.
D. Change Categories
Each Change item must be categorized by a Reason Code. At the end of the project,
the CM shall summarize all change order items by the reason code in the Contract
Closeout Data Sheet. The Reason Codes are as follows:
(1)
Page 5 of 73
2.5.17 - VER 02
2.5.17.1
Change Management
Change Management Overview
c. Directed Suspension of Work The Port requires the Contractor to
suspend all or part of the work (see CMDPM 2.5.11) for the benefit of the
Port.
d. Directed Acceleration The Port requires the Contractor to speed up
work in order to meet an earlier completion date or mitigate a Portcaused delay.
e. Termination for Convenience (see CMDPM 2.5.21) The Port deletes all
or a portion of the work for the convenience of the Port.
f.
(2)
(3)
Page 6 of 73
2.5.17 - VER 02
2.5.17.1
Change Management
Change Management Overview
(4)
(5)
(6)
(7)
Page 7 of 73
2.5.17 - VER 02
2.5.17.1
Change Management
Change Management Overview
F. Claims Avoidance and Mitigation
1. Identify project risks and ways to mitigate those risks before construction starts
(preferably during the design phase).
2. Read and understand the contract documents.
3. Employ Partnering methods (informal or formal) and maintain positive field
relationships. Resolve issues in a timely manner at the lowest level possible and
escalate in a timely manner if agreement cannot be reached, or the issue is outside
your authority to resolve.
4. Maintain thorough and accurate project records and documentation.
5. Ensure monthly schedule updates are accurate, and look-ahead schedules are tied to
the project schedule activities.
6. Ensure claim or change notice is in writing.
7. Respond quickly to claims. Reference initial change notice, and cite contract,
drawing, and specification sections to support position.
8. Acknowledge and take responsibility for owner-caused changes. Dont direct the
Contractor to perform changed work and wait for the Contractor to make a claim if
you already know it constitutes a change.
9. Log the claim and notify appropriate supervisors. Discuss entitlement with the DCM
before acknowledging merit for claims without clear merit.
10. Identify and evaluate the contract language that relates to the claim.
11. Document issues objectively and contemporaneously.
12. Set-up files for each claim and assemble the relevant project records such as
correspondence, meeting minutes, RFIs, schedules, daily reports, and other
documents.
13. Identify how the claim has (or will) affect the remainder of the project and the
project schedule and evaluate re-sequencing options.
G. Analysis of a Claim
1. Determine if notice was submitted in writing within the contractually required
timeframe.
2. Ensure description of change is thorough, accurate, and includes the following
information:
a. Who or What caused the change or claim (i.e. Designer, Building Inspector,
Unforeseen Condition, etc). Use names, not position titles.
CMD Procedures Manual
Page 8 of 73
2.5.17 - VER 02
2.5.17.1
Change Management
Change Management Overview
b. When the change or claim occurred (date and time) and when the notice was
given
c. How did the change or claim occur (i.e. response to RFI No. 14)
d. Under what circumstance (i.e. during the Building Inspectors inspection)
e. Location (use sketch on contract drawing or request a survey as appropriate)
3. Examine information provided in the contract documents and determine if contract
documents are defective.
4. For Type 2 Unforeseen Conditions, obtain the Contractors description of the
conditions they anticipated in their bid and why. Determine if difference between
conditions is material.
5. For Type 2 Unforeseen Conditions, determine if the alleged changed condition is
inherent in this type of work and therefore should have been anticipated by the
Contractor and included in their bid.
6. If Contractor is claiming additional work due to an omission on the drawings and
specifications, determine if the alleged additional material or work is necessary to
fully and completely finish the project according to the true intent and meaning of
the specifications and drawings, and therefore should have been included in their
bid (see General Condition Article 1).
7. Examine field conditions and take pictures.
8. Perform independent assessment of conditions, as necessary (i.e. third-party test
lab).
9. Obtain Designers response to claim if claim involves an alleged design defect.
10. Ensure the documentation demonstrating impact to the contract time is thorough
and accurate through the following:
a. Determine what activities were (or will) be impacted
b. Determine if the end date of the project, or contractual milestone, has been
(or will be) impacted. If so, continue on to Step c.
c. Determine if the Contractor can mitigate the delay through re-sequencing.
(General Condition Article 8). If not, or re-sequencing was unsuccessful,
continue on to Step d.
d. Review schedule and determine if there was any concurrent contractorcaused delays and/or excusable delays (e.g. rain). The portion of the delay
that is concurrent is non-compensable.
Page 9 of 73
2.5.17 - VER 02
2.5.17.1
Change Management
Change Management Overview
e. Determine net compensable Port-caused delay, which is the total delay that
extends the contract milestone, less any concurrent delay by the Contractor
and/or weather.
11. Ensure the documentation demonstrating impact to cost is thorough and accurate:
a. Direct Costs costs incurred as a direct result of the change.
i. Labor (with all burdens) should match Prevailing Wage
ii. Materials receipts required
iii. Equipment rates should not exceed local rental rates per General
Condition Article 7.4.1 (c).
iv. Remobilization
v. Storage
vi. Bond and insurance costs per General Conditions
vii. Markups for overhead and profit per General Conditions
viii. Subcontractor costs (with same components as above)
b. Indirect Costs (Overhead) Costs to support the project which are not
allocable to just one specific item of direct work. Overhead costs are
generally considered to be included in the markups on Direct Costs for
change orders not involving an extension of contract time. It may be
appropriate to include overhead as a separate item for a Port-caused delay
affecting the critical path of the project (i.e. site unavailable, permits delayed,
etc). Categories of extended overhead which may be involved are as follows:
i. Field Overhead
1.)
2.)
3.)
4.)
5.)
6.)
7.)
Page 10 of 73
2.5.17 - VER 02
2.5.17.1
Change Management
Change Management Overview
definitive method for all projects or situations. A common method for
calculating lost productivity costs is the measured mile. The measured
mile involves calculating the production rate during un-impacted period.
Total Cost is not an acceptable method to calculate impact costs. Impacts
include the following:
i. Idle equipment
ii. Idle personnel
iii. Escalation costs for labor, equipment, and materials
iv. Inefficiency Stop/start, demobilization/remobilization, lost
productivity, re-sequencing, disruption
v. Crowding additional workers on a crew sharing the same number of
resources as before (equipment, tools, supervision, work-space, etc).
vi. Stacking of Trades crews work concurrently instead of sequentially.
Each crew disrupts the other and work may be installed out of
sequence.
d. Obtain an independent estimate of costs for items over $10,000 when
possible and as appropriate
H. Method of Compensation
1. Lump Sum (negotiated or unilateral)
2. Unit Price (Bid Item additional quantity with Not-to-Exceed amount)
3. Unit Price (negotiated with Not-to-Exceed amount)
4. Time and Materials (with Not-to-Exceed amount)
I. References
1. General Condition Article 7
2. Special Provisions Changes Initiated by the City
3. Special Provisions Unforeseen Conditions
4. Public Contract Codes: 7102
5. Contracting Procedures Manual (Version 0.2)
Page 11 of 73
2.5.17 - VER 02
2.5.17.2
Change Management
Port Initiated Change
2.5.17.2
Page 12 of 73
2.5.17 - VER 02
2.5.17.2
Change Management
POLB Initiated Changes
PM Division
Notify CMD in
writing of
requested change
START
Request the
Designer prepare a
cost estimate, if
appropriate
Proceed?
NO
YES
Close item in
CPMIS
Notify Contractor
Port will not
proceed with
proposed change
Can it be
paid for by a
Contingency Bid
Item?
Issue LS or
Unit Price
WATO
(See CMDPM
2.5.17.6)
YES
DCC IN
(See CMDPM
2.2.2)
Are there
potentially serious
impacts?
NO
YES
Is
immediate approval
required to avoid time
impacts?
Go to RFP &
negotiations
(See CMDPM
2.5.17.5)
NO
Is work
discretionary and/or
exceeds cost
estimate?
NO
CM & Contractor
agree on cost/time?
YES
NO
NO
YES
Determine NTE
amount
or
Is amount
w/in DCMs CPCO
authority?
Proceed?
YES
Can it be
paid for by a
Contingency Bid
Item?
YES
Issue T&M
WATO with a
NTE amount
(See CMDPM
2.5.17.6)
Is amount
w/in DCMs CPCO
authority?
YES
Issue T&M
CPCO with a
NTE amount
(See CMDPM
2.5.17.7)
Issue CO
(See CMDPM
2.5.17.9)
Issue CO with
a NTE amount
(See CMDPM
2.5.17.9)
Issue credit CO
for any remaining
balance
(See CMDPM
2.5.17.9)
YES
Issue LS or
Unit Price
CPCO
(See CMDPM
2.5.17.7)
Issue CO
(See CMDPM
2.5.17.9)
END
NO
Discuss w/DCM
Consider alternatives,
e.g. On-call contracts,
not doing the change,
etc.
NO
NO
YES
A
Notify PM Division of
recommended
alternative
NO
Proceed?
YES
NO
Discuss
recommendation
not to Proceed
with change with
PM Division
LEGEND
CM = Construction Manager
CMDPM = Construction Management Division Procedures Manual
CPMIS = Construction Project Management Information System
DCC IN = Document Control Center - Incoming Correspondence
DCM = Director of Construction Management
NTE = Not-to-Exceed
= Decision
= Process
Page 13 of 73
or = Alternate paths
A = On-Page Connector
2.5.17 VER 02
2.5.17.3
Change Management
Contractor Notice of Change
2.5.17.3
Page 14 of 73
2.5.17 - VER 02
2.5.17.3
Change Management
Contractor Notice of Change / Change Order Request
PM Division
START
Contractor notifies
Port in writing of a
potential changed
condition or delay
DCC IN
(See CMDPM
2.2.2)
Notify CM
Supervisor and
DCM of Potential
Change
Enter info. in
Expedition
Change
Management
Discuss merits of
change with
Designer, CM
Supervisor and/or
DCM
(as necessary)
YES
Can it be
paid for under a
Contingency Bid
Item?
NO
Send letter to
Contractor denying
claim based on
lack of merit
(See CMDPM
2.5.17.8)
YES
Send authorization to
Proceed under a
Contingency Bid
Item
(See CMDPM
2.5.17.6)
NO
Is immediate
approval required to
avoid / mitigate time or
cost impacts?
NO
Can it be
paid for by a
Contingency Bid
Item?
YES
NO
YES
Determine NTE
amount
or
YES
Proceed with
Unilateral Change
based on CM
estimate (See
CMDPM 2.5.17.9)
Issue LS or
Unit Price
WATO
(See CMDPM
2.5.17.6)
NO
Is amount
w/in DCMs CPCO
authority?
NO
Issue CO
(See CMDPM
2.5.17.9)
YES
Issue LS or
Unit Price
CPCO
(See CMDPM
2.5.17.7)
END
A
Can it be
paid for by a
Contingency Bid
Item?
YES
Issue T&M
WATO with a
NTE amount
(See CMDPM
2.5.17.6)
Issue T&M
CPCO with a
NTE amount
(See CMDPM
2.5.17.7)
Issue CO
(See CMDPM
2.5.17.9)
Issue credit CO
for any remaining
balance
(See CMDPM
2.5.17.9)
NO
Is amount w/in
DCMs CPCO
authority?
YES
NO
Should the
work be done under the
On-Call Contract?
(Discuss w/DCM)
YES
NO
Issue CO with
a NTE amount
(See CMDPM
2.5.17-L)
LEGEND
CM = Construction Manager
CMDPM = Construction Management Division Procedures Manual
CPMIS = Construction Project Management Information System
DCC IN = Document Control Center - Incoming Correspondence
DCM = Director of Construction Management
NTE = Not-to-Exceed
= Decision
= Process
Page 15 of 73
or = Alternate paths
A = On-Page Connector
2.5.17 VER 02
2.5.17.4
Change Management
Value Engineering Change
2.5.17.4
Page 16 of 73
2.5.17 - VER 02
2.5.17.5
Change Management
Request for Proposal
2.5.17.5
A. Overview
For changed work that can be well defined, the full scope of work clearly
identified, and is not time sensitive, it is preferable to obtain a lump sum
proposal from the Contractor. In order to solicit a lump sum price, a Request for
Proposal (RFP) is submitted to the Contractor along with revised drawings,
sketches, and/or detailed work description. Upon receipt of the Contractors
proposal, an evaluation of the proposed cost is needed to verify the proposed
cost includes the full scope of the change and that the proposed cost is
reasonably close to the independent estimate. Items in the proposal that are
significantly different than the independent estimate should be addressed and
negotiated.
B. Flowchart (see page 21)
C. RFP Procedure
Note: A Request for Proposal to the Contractor is not, and cannot be used as, an
authorization to proceed with a change to the Contract.
1. The CM opens the associated Change Management Item in the Construction Project
Management Information System. If one does not exist, the CM creates a Change
Management item.
a. In the RFP document, reference the RFI or change document that initiated
the RFP.
2. The CM prints and signs the RFP and routes to the CM Supervisor with back-up
documents
3. The CM Supervisor initials and forwards to the DCM for signature.
4. The Front Desk mails the original, distributes copies, and gives one copy to DCC.
5. DCC stamps, scans, and attaches document in Contract Manager, and files in the
project file.
D. Negotiations
After the initial review of the proposal received from the Contractor has verified that the
proposal includes the full and correct scope of the change, the Contractors cost must be
compared against the independent estimate for the work if the cost exceeds $10,000. If
there is a significant variance between the independent estimate and the Contractors
Page 17 of 73
2.5.17 - VER 02
2.5.17.5
Change Management
Request for Proposal
cost proposal, negotiation with the Contractor is warranted in order to reach an agreed
upon lump sum cost for the work.
A record or log of all negotiations related to a specific WATO, CPCO or Change Order
needs to be maintained in the project files. The negotiations may take place in a single
meeting or evolve over time and include telephone conversations, e-mail
correspondence, formal letters, and/or meetings. The record of negotiations should
include the date, participants, and the results of the negotiation.
For minor changes, the independent estimate can be developed by the CM. For large
and complex changes that are a result of design changes or owner enhancements that
have required revisions to the contract plans, an estimate should have been provided by
the Designer. The Designers estimate, if reasonable, should be used for negotiation
purposes. The CMs independent estimate may also be requested if necessary in
addition to the designers estimate. Changes under $10,000 do not require an
independent estimate, however, records indicating that the change was deemed fair and
reasonable is necessary. Should the Designers estimate appear unreasonable, the CM
will meet with the Designer to discuss and revise if necessary.
Prior to negotiations, the CM should ensure the contract specification documents are
reviewed. Additional research and fact finding should be undertaken in order for the CM
to gain a current understanding of the work involved and determine if there are any
special constraints or conditions that could be influencing the Contractors proposal that
may not have been included in the independent estimate. In addition, the current stage
of the construction progress, submittal status, material fabrication and delivery status,
and the impact of the extra work on the subsequent work activities and its relation to
the project schedules critical path need to be reviewed in order to evaluate whether the
extra work may impact the project schedule. Markups by all tiers of subcontractor and
the prime contractor should be reviewed and negotiated to assure they are reasonable.
In order to substantiate material and subcontractor costs, comments should be solicited
from the Designer and material manufacturer or supplier representatives to verify listed
material costs and to discuss installation methods. As a best practice, labor and material
rates should be established prior to the project commencement.
Time related and other impact costs should be included in the negotiations if entitled.
The final cost should be a full and final cost whenever possible. Time extensions should
be supported by time impact analysis or other supportive analysis and included in the
formal change order.
The goal of negotiation with the Contractor should be to reach an agreement on a lump
sum cost and time adjustment for the work involved that is fair to both the Contractor
and the Port.
During the negotiation, an opportunity should be given for the Contractor to explain the
basis of their proposal and to outline any special conditions that may have influenced
their costs. The costs as outlined by the Contractor must be evaluated against
requirements in the Contract Documents to determine merit.
Page 18 of 73
2.5.17 - VER 02
2.5.17.5
Change Management
Request for Proposal
While a cost difference between the Contractors initial cost proposal may vary
significantly from the Ports estimate, a breakdown of the work in smaller elements or
tasks should be reviewed and an attempt should be made to reach agreement on the
individual elements of the work. Using this process, the areas of difference and
disagreement may be reduced and narrowed. If the amount of the cost difference and
the associated work can be broken down into smaller costs, a compromise may be
achieved.
The CM needs to be able to justify any agreed upon lump sum amount based upon the
original independent estimate or a revised estimate which takes into account any of the
project conditions and constraints determined after further research, or after
consideration of the Contractors explanation of their proposal. Should the CM be
unable to reach a lump sum agreement with the Contractor which could be justified, the
extra work shall not proceed. In this instance, the Contractor shall be directed to
proceed with the work per a unilateral change or on a Time and Material, Not-to-Exceed
basis.
E. Exhibit
1. Request for Proposal Example (Primavera Contract Manager)
Page 19 of 73
2.5.17 - VER 02
2.5.17.5
Change Management
Request for Proposal
Exhibit 1: Request for Proposal Example
Page 20 of 73
2.5.17 - VER 02
2.5.17.5
Change Management
Request for Proposal
Contractor
Prepare proposal
and
Port and
Contractor meet
for Negotiations
Agreement reached?
NO
YES
Distribution:
CM Supervisor
Prepare summary of
negotiations with markups to Proposal (include
in file)
CM
NO
START
Create RFP in
Construction Project
Management
Information System
(CPMIS)
DCC OUT
(see CMDPM 2.2.3)
and
DCC IN
(see CMDPM 2.2.2)
YES
Update cost/time
info. in CPMIS
Return to Change
Management (See CMDPM
2.5.17.2 or 2.5.17.3)
END
DCM
Sign RFP
Page 21 of 73
2.5.17 VER 02
2.5.17.6
Change Management
Work Authorization Task Order (WATO)
2.5.17.6
A. Overview
If the contract includes Allowance and/or Contingency bid items, changed work covered
under an Allowance or Contingency bid item must be authorized by a Work
Authorization Task Order (WATO). Because Allowance and Contingency bid items are
included in the contract price, WATOs can be paid as part of the regular progress
payment process.
A WATO can authorize work to proceed at an agreed upon lump sum amount or direct
work to proceed on a time and material, not-to-exceed basis. In addition, the impact
the change has on the projects schedule needs to be identified in the WATO.
B. Flowchart (see page 28)
C. Procedure
1. Because the Allowance and Contingency Bid Items are included in the contract price,
WATOs can be paid on the monthly contractor invoice.
2. The Proposal and Bid in the contract will identify the Allowance and Contingency Bid
Items, the type of work the bid item covers, and a pre-defined amount.
3. The CM determines there is a need for additional work which may be covered by one
of the Allowance or Contingency Bid Items.
4. The CM prepares an RFP and attempts to negotiate a lump sum price for extra work
which is not time sensitive. If the work must be done immediately, the CM
estimates the value of the work and proceeds to the next step.
5. The CM prepares a WATO.
a. The WATO number includes the Bid Item number and the sequential log number
under that bid item. For example: WATO 06-05 is the fifth WATO issued for Bid
Item No. 6.
b. The WATO can either be lump sum, Time and Materials (T&M) or unit price with
a not-to-exceed amount.
c. The body of the description shall clearly state the scope of work to be
performed, any exclusions or conditions, how it will be paid (lump sum, T&M, or
unit price), and the amount (either the agreed upon lump sum amount or a notto-exceed amount for T&M and unit price work).
6. The WATO is entered into the WATO spreadsheet which tracks the Allowance or
Contingency Bid Item amount defined in the contract, the WATOs issued against
that Bid Item amount, and the remaining Bid Item amount.
CMD Procedures Manual
Page 22 of 73
2.5.17 - VER 02
2.5.17.6
Change Management
Work Authorization Task Order (WATO)
7. The CM routes 2 original copies of the WATO for approval. The WATO is routed in a
green folder along with an updated copy of the WATO spreadsheet and the back-up
documents to the WATO (i.e. a copy of the RFI or written request initiating the
work, cost estimate if required, contractors quote, etc). The order of signatures is
as follows:
a. Construction Manager (consultant or Port CM)
b. POLB CM Supervisor (see project specific org chart)
c. Director of Construction Management
d. Contractor
8. If the WATO is T&M, the Contractor is required to track the cumulative cost of the
work on a daily basis and to advise the CM when the authorization may not be
adequate as soon as possible. Once the cost reaches 75% of the not-to-exceed
amount, the CM estimates the remaining work and, if necessary, issues a revised
WATO to increase the not-to-exceed amount. The revised WATO uses the same
number as the original one, followed by a -R1 (i.e, WATO 04-01-R1), and the
description shall indicate that it supersedes the previously issued WATO, along with
the date and amount of the originally issued or previous WATO.
9. Each WATO is listed in the monthly Schedule of Values under each Allowance or
Contingency Bid Item. A Balance line item is used in each Bid Item breakdown to
account for the un-authorized remaining bid amount. Progress payments can be
made on WATO items.
10. Under no circumstances may the allowance amount in the bid item be exceeded.
D. Exhibits
1. Work Authorization Task Order Example (Primavera Contract Manager)
2. Change Documentation Checklist (file: Change Doc Checklist.xlsx)
3. WATO Log Example (file: WATO Log.xlsx)
Page 23 of 73
2.5.17 - VER 02
2.5.17.6
Change Management
Work Authorization Task Order (WATO)
Exhibit 1: Work Authorization Task Order (WATO) Example (Page 1 of 2)
Page 24 of 73
2.5.17 - VER 02
2.5.17.6
Change Management
Work Authorization Task Order (WATO)
Exhibit 1: Work Authorization Task Order (WATO) Example (Page 2 of 2)
Page 25 of 73
2.5.17 - VER 02
2.5.17.6
Change Management
Work Authorization Task Order (WATO)
Exhibit 2: Change Documentation Checklist
Page 26 of 73
2.5.17 - VER 02
2.5.17.6
Change Management
Work Authorization Task Order (WATO)
Exhibit 3: WATO Log Example
Page 27 of 73
2.5.17 - VER 02
2.5.17.6
Change Management
Work Authorization Task Order (WATO)
Contractor
Complete Change
Documentation
Checklist (See
Exhibit 2)
Is work to be
performed on T&M?
YES
(See CMDPM
2.5.17.12)
Prepare
Justification/
Rationale and
Rough Order of
Magnitude
Estimate for
proceeding on a
T&M basis
CM
NO
START
From Change
Management (See
CMDPM 2.5.17.2 or
2.5.17.3)
Create WATO in
CPMIS
Obtain Cost
Proposal from
Contractor (See
CMDPM 2.5.17.5)
or Identify Unit
Price Item to be
Used
and
Can the
Time Impact
to the Project be
determined
at this time?
DCM
CM Supervisor
NO
YES
Prepare a Time
Impact Schedule
Analysis
Update WATO
Log
(see Exhibit 3)
Sign
Transmit both
original WATOs to
Contractor (w/out
back-up docs)
(See CMDPM 2.2.3)
DCC IN
(See CMDPM 2.2.2)
Return to Change
Management (See
CMDPM 2.5.17.2 or
2.5.17.3)
END
Distribution:
Project file (Original with back-up docs)
Construction Manager
Inspector
Principal Inspector
Provide
justification why a
Time Impact/
Schedule Impact
cannot be
determined
Sign
Sign
Page 28 of 73
2.5.17 VER 02
2.5.17.7
Change Management
Contractor Pending Change Order (CPCO)
2.5.17.7
A. Overview
A Contractor Pending Change Order (CPCO) may be issued to provide written
authorization to proceed with a change, as long as it is within the available amount of
Executive Directors authority limit. However, a CPCO must be incorporated into a
formal Change Order in order to pay the Contractor for the work.
A CPCO can authorize work to proceed at an agreed upon lump sum amount or direct
work to proceed on a time and material, not-to-exceed basis. In addition, the impact
the authorized change has on the projects schedule needs to be identified in the CPCO.
B. Flowchart (see page 39)
C. Procedure
1. A CPCO does not allow payment to be made to the contractor. It only provides the
formal written authorization to proceed with the work and a method to track the
costs until formal change order approval is obtained.
2. The CM determines there is clear justification for a contract change based on one of
the following reasons:
a. RFI response resulting in additional work (response cannot be sent to
Contractor until authorization for the additional work is obtained)
b. Owner or tenant initiated scope change (requires approval from the PM)
c. Unforeseen condition
d. Ruling by Code Official
e. Errors and Omissions by the Designer
f.
Page 29 of 73
2.5.17 - VER 02
2.5.17.7
Change Management
Contractor Pending Change Order (CPCO)
clearly state the scope of work to be performed, any exclusions or conditions, how it
will be paid (lump sum, unit price, or T&M), and the amount (either the agreed upon
lump sum amount, a not-to-exceed amount for T&M, or unit price work). Time
impacts and extensions should be addressed in the CPCO.
5. The following CPCO documentation shall be prepared and maintained in the project
records (see Exhibit Change Documentation Checklist):
a. Evaluation of the merit or entitlement for the proposed change
b. Documentation of an independent estimate of the cost of the change for
changes exceeding $10,000. The maximum limit of $10,000 is based on the
proposed change and excludes any related credit.
c. If the CPCO is to be completed on Time and Material, justification for reason
to proceed on a time and material basis shall be documented. Justification
may include the following: to avoid schedule impact with specific schedule
activity reference; uncertain scope; disagreement on cost; urgency of the
additional work; etc.
d. Time impact/schedule analysis including any cost associated with time impact
to the project. Explanation of the required time extension and impact costs,
including evaluating delay damages, direct impact on other subsequent work
activities, impact to the projects critical path schedule, whether the delay
would trigger any liquidated damages, or exposure to the Port for the
Contractors extended field and home office overhead costs. If the time
impact and related cost cannot be evaluated at this time, include a statement
of explanation. An example of this situation occurs when a Time and
Material CPCO is issued with a scope of work that is not well defined,
therefore, time impact can not be evaluated until the work is completed.
After completion of the work a time impact analysis is then required. Full
and final costs settlements should be pursued when negotiating all CPCOs.
e. Documentation from the Program Management Division should be included
for all discretionary scope related changes and from the Designer for all
design related changes
f.
Page 30 of 73
2.5.17 - VER 02
2.5.17.7
Change Management
Contractor Pending Change Order (CPCO)
i.
6. The CPCO is entered into the CPCO spreadsheet which tracks the Executive Director
Change Order authorization, the CPCOs issued against that authorization, and the
remaining authorization.
7. The CM routes duplicate copies of the CPCO for approval. The CPCO is routed in a
green folder along with an updated copy of the CPCO spreadsheet and the back-up
documents to the CPCO (i.e. a copy of the RFI or written request initiating the work,
cost estimate if required, contractors quote, copy of PMs approval if necessary,
documentation checklist, etc). The order of signatures is as follows:
a. Construction Manager (consultant or Port CM)
b. POLB CM Supervisor (see project specific org chart)
c. Director of Construction Management
d. Contractor
8. Upon execution by the Contractor, one original signed copy is returned to the Port.
The original is scanned and filed in the contract file and copies are distributed.
9. If the CPCO is T&M, the CM, with support from the Inspector and information from
the Contractor, tracks the cumulative cost of the work on a daily basis. Once the
cost reaches 75% of the not-to-exceed amount, the CM estimates the remaining
work and issues a revised CPCO to increase the not-to-exceed amount if necessary.
The revised CPCO uses the same number as the original one, followed by a -R1
(i.e, CPCO 04-R1), and the description shall indicate that it supersedes the previously
issued CPCO.
10. Once the total cost of all of the CPCOs issued approaches the Executive Director
authorization limit, or the Contractor has requested payment for the CPCOs issued,
the CM prepares a change order (see Change Order procedure). The change order
must be executed before payment can be made on the CPCOs.
11. If further additional work is anticipated which would exceed the Executive Directors
authorization, the CM shall discuss immediately with the DCM sufficiently in advance
of when the authorization is needed in order to obtain Board approval without
delaying the contract work (see Change Order procedure).
D. Exhibits
1. Contractor Pending Change Order (CPCO) Example (Primavera Contract Manager)
2. Change Documentation Checklist (file: Change Doc Checklist.xlsx)
3. CPCO Documentation Summary Example (file: Change Doc Summary.docx)
Page 31 of 73
2.5.17 - VER 02
2.5.17.7
Change Management
Contractor Pending Change Order (CPCO)
4. Change Management Log Example (file: Change Mgmt Log.xlsx)
Page 32 of 73
2.5.17 - VER 02
2.5.17.7
Change Management
Contractor Pending Change Order (CPCO)
Exhibit 1: Contractor Pending Change Order (CPCO) Example (Page 1 of 2)
Page 33 of 73
2.5.17 - VER 02
2.5.17.7
Change Management
Contractor Pending Change Order (CPCO)
Exhibit 1: Contractor Pending Change Order (CPCO) Example (Page 2 of 2)
Page 34 of 73
2.5.17 - VER 02
2.5.17.7
Change Management
Contractor Pending Change Order (CPCO)
Exhibit 2: Change Documentation Checklist
Page 35 of 73
2.5.17 - VER 02
2.5.17.7
Change Management
Contractor Pending Change Order (CPCO)
Exhibit 3: Change Documentation Summary Example (Page 1 of 2)
Page 36 of 73
2.5.17 - VER 02
2.5.17.7
Change Management
Contractor Pending Change Order (CPCO)
Exhibit 3: Change Documentation Summary Example (Page 2 of 2)
Page 37 of 73
2.5.17 - VER 02
2.5.17.7
Change Management
Contractor Pending Change Order (CPCO)
Exhibit 4: Change Management Log Example
Page 38 of 73
2.5.17 - VER 02
2.5.17.7
Change Management
Contractor Pending Change Order (CPCO)
Contractor
Complete CPCO
Checklist and
Support
Documentation
(See Exhibit 2 & 3)
Is work to be
performed on T&M?
(See CMDPM
2.5.17.12)
YES
Prepare
Justification/
Rationale for
proceeding on a
T&M basis
NO
CM
Obtain Cost
Proposal from
Contractor (see
CMDPM 2.5.17.5)
START
From Change
Management
(See CMDPM
2.5.17.2 or 2.5.17.3)
Create CPCO in
Construction
Project
Management
Information
System.
and
Is change over
$10,000?
YES
NO
Can the
Time Impact
to the Project be
determined at
this time?
Sign
YES
Transmit both
original CPCOs
to Contractor
(w/out back-up
docs)
(See CMDPM
2.2.3)
DCC IN
(See CMDPM
2.2.2)
Return to Change
Management
(See CMDPM
2.5.17.9)
END
Distribution:
Project file (Original with
back-up docs)
Construction Manager
Inspector
Principal Inspector
Prepare a Time
Impact Schedule
Analysis
Provide
justification why a
Time Impact/
Schedule Impact
cannot be
determined
Sign
DCM
Include in CPCO
support
documentation
that change is less
than $10,000
CM Supervisor
NO
Prepare
Independent Cost
Estimate
Update Change
Management Log
(See Exhibit 4)
and include in
Weekly Report as
pending change
Sign
Page 39 of 73
2.5.17 VER 02
2.5.17.8
Change Management
Claims Deemed No Merit
2.5.17.8
A. Overview
Page 40 of 73
2.5.17 - VER 02
2.5.17.8
Change Management
Claims Deemed No Merit
Note: It is against the law for a Contractor to submit false claims. Keep documentation
demonstrating the false claim and notify the DCM.
D. Exhibit
1. Letter Denying Claim Example
Page 41 of 73
2.5.17 - VER 02
2.5.17.8
Change Management
Claims Deemed No Merit
Exhibit 1: Letter Denying Claim Example
Page 42 of 73
2.5.17 - VER 02
2.5.17.8
Change Management
Claims Deemed No Merit
Contractor
Protest the
Ports rejection of
the claim?
CM
NO
Ensure claim is
appropriately
recorded in the
Construction
Project
Management
Information
System and
included in
Weekly Report
as pending
change
START
From Change
Management (See CMDPM
2.5.17.3)
YES
YES
Respond to Ports
rejection of claim
and
Is Contractor
proceeding with the
claim work?
Claim resolved?
YES
NO
Utilize alternative
dispute resolution
approaches as
agreed to with DCM
NO
Track potential
costs (T&M) (See
CMDPM 2.5.17.12)
Proceed with
Litigation?
YES
Resolve Claim in
Litigation
END
NO
DCM
Escalate Issue to
next level in Dispute
Resolution Process
Meet with
Contractor to
resolve Claim
Consider other
alternative dispute
resolution approaches
and determine an
agreeable approach
with contractor
Claim resolved?
NO
and
Brief the CHE,
Managing Director,
and the City Attorney
as appropriate.
YES
Return to Change
Management (See
CMDPM 2.5.17.3)
Page 43 of 73
2.5.17 VER 02
2.5.17.9
Change Management
Change Order
2.5.17.9
CHANGE ORDER
A. Overview
A change order is a formal modification to the construction contract and is required for
payment to the contractor for extra work or for any adjustment in the contract duration.
A change order must be signed by the Executive Director; however the Executive
Directors authority is limited to a cumulative total of $100,000 per contract. This
authority covers multiple change orders so long as their total is less than $100,000. If a
change order exceeds $100,000 or the Executive Directors remaining authority, the
change order requires approval by the Board of Harbor Commissioners. For the purpose
of determining a individual change order total, or the cumulative total of multiple change
oders, with referce to Executive Director authority and Board approval, all additive items
are to be included, the additive value cannot be reduced by deductive or credit items.
A change order may incorporate previously approved Contractor Pending Change Orders
(CPCOs) and/or new items.
A unilaterial change order is issued when the Port has determined there is merit for an
adjustment to the contract amount where an agreement with the Contractor cannot be
achieved and the Contractor will not concur with the change order. A unilaterial change
oder is issued by the Port without the signature by the Contractor.
A close-out change order is issued at the end of the project for bid item quantity
adjustments, unused allowance and contingency bid item amounts, remaining CPCOs,
and unused amounts of previously issued Change Orders.
B. Flowchart (see page 61)
C. Procedure
1. Multiple change order items and CPCOs, both additive and deductive, can be
combined into one change order. However, only additive items should be
considered for purposes of evaluating whether the Change Order is within the
Executive Directors authority.
2. The CM determines there is a clear justification for a contract change based on one
of the following reasons:
a. RFI response resulting in additional work (response cannot be sent to
Contractor until authorization for the additional work is obtained)
b. Owner or tenant initiated scope change (requires approval from the PM)
c. Unforeseen condition
d. Ruling by Code Official
Page 44 of 73
2.5.17 - VER 02
2.5.17.9
Change Management
Change Order
e. Clarification or Errors and Omissions by the Designer
f.
g. Owner error
3. If the work must proceed immediately, the CM issues a CPCO (see CPCO procedure).
If not, the CM issues an RFP and attempts to negotiate a lump sum price.
a. Note: If the CM and Contractor are unable to reach an agreement, discuss
options with the Director of Construction Management. Options may include
directing the Contractor to proceed on the basis of General Provision 3.03
Extra Work, in accordance with Subdivision 3.034 and 3.035, or electing to
use an On-Call contract or other contractor to accomplish the work.
4. If the value of the change order exceeds the Executive Directors authority, or the
total change orders would exceed 25% of the original contract amount, the CM must
first go to the Engineering and Environmental Committee and then Board of Harbor
Commissioners for approval before the change order can be issued (see Committee
and Board Authorization). If the Change Order work is extremely time sensitive, it
may be submitted to the Engineering and Environmental Committee and Board at
the same meeting.
5. The CM verifies there are sufficient contingency funds in the Work Order to cover
the cost of the Change Order. If not, CM requests PM to supplement the Work
Order (see Committee and Board Authorization below).
6. CM prepares a draft Change Order, using the Change Order letter template in the
Contract Manager Letters Module.
7. CM prepares a Change Order Memo to Director of Construction Management. The
memo provides the project background, description and reason code for each
change order item, and a summary of the Work Order, contract, contingency, and
change order funding. Place the numerical reason code next to each change order
item. This will assist the CM in summarizing all change order items by the reason
code at the end of the project.
If the Change Order is to be issued unilaterally, this shall be noted in the Memo to
the Director of Construction Management.
8. CM prepares a Contract Change Order Background form (Form 3B) to document the
change order.
9. The following Change Order documentation shall be prepared and maintained in the
project records and acknowledged on the Contract Change Order Background form:
a. Evaluation of the merit or entitlement for the proposed change
Page 45 of 73
2.5.17 - VER 02
2.5.17.9
Change Management
Change Order
b. Documentation of an independent estimate of the cost of the change for
changes exceeding $10,000. The maximum limit of $10,000 is based on the
proposed change and excludes any related credit.
c. If the additional work is to be completed on Time and Material, justification
for reason s to proceed on a time and material basis shall be documented.
Justification should address; to avoid schedule impact with specific schedule
activity reference, uncertain scope, disagreement on cost, urgency of the
additional work, etc.
d. Time impact/schedule analysis including any cost associated with time impact
to the project. Explanation of the required time extension and impact costs,
including evaluating delay damages, direct impact on other subsequent work
activities, impact to the projects critical path schedule, whether the delay
would trigger any liquidated damages, or exposure to the Port for the
Contractors extended field and home office overhead costs. If the time
impact and related cost cannot be evaluated at this time, include a statement
of explanation. Full and final costs settlements should be pursued when
negotiating all change orders.
e. Documentation from the Program Management Division should be included
for all discretionary scope related changes and from the Designer for all
design related changes
f.
k. All draft versions of the change order which illustrate interim revisions, with
independent reviewed sign-off shall be maintained in the project files.
10. CM routes a yellow copy of the draft change order in a green folder with the back-up
documents to each change order item (CPCO, RFI, RFP/Quote, etc), and a copy of
the Change Order Memo, Contract Change Order Background form (Form 3B), and
approved Board memo if applicable. If the CO is to be mailed to the Contractor, a
draft of the transmittal letter is also prepared by the CM and included for review.
The routing order is as follows:
a. POLB CM supervisor
CMD Procedures Manual
Page 46 of 73
2.5.17 - VER 02
2.5.17.9
Change Management
Change Order
b. Admin Analyst (attaches a calculator tape to the Change Order to verify
Change Order Total and revised Contract Amount)
c. Director of Construction Management
11. After DCM review and incorporation of any requested revisions, the CM sends a draft
copy of the Change Order to the Contractor for review and concurrence. Discuss
any changes proposed by the Contractor with immediate supervisor and/or Director
of Construction Management.
In the case of a unilaterial change order, a draft copy of the Change Order is not
sent to the Contractor for review and concurrence.
12. CM e-mails a completed copy of the Contract Change Order Background form (Form
3B) to the CMD Secretary, who inturn will e-mail a copy to the Contract Compliance
Section. Submission of the form shall take place a minimum of five (5) business
days prior to any recommendation to the Board of Harbor Commissioners for change
order ratification or approval.
13. CM finalizes the change order and prints two original copies on POLB letterhead,
with DUPLICATE ORIGINAL printed in the upper right-hand corner of both copies.
14. The original change order draft along with any interim versions should be retained in
the project files.
15. CM routes both original copies of the change order for approval. The change order
is routed internally in a green folder with a copy of the draft change order and the
Change Order Memo. The Change Order Memo is for the internal routing only and is
not transmitted to the Contractor. The routing order is as follows:
a. Construction Manager Initials
b. Program Manager Initials
c. Director of Construction Management Initials
d. Contractor Signature (without Change Order Memo), Rouing to the
Contractor is not applicable for unilateral Change Orders.)
e. CM review any proposed revisions or exceptions
f.
Page 47 of 73
2.5.17 - VER 02
2.5.17.9
Change Management
Change Order
16. After execution is complete, return one original copy to contractor. The other
original copy is sent to Records Center. Copies are distributed to the Program
Manager, Inspector, File (through DCC), and Admin Analyst.
D. Exhibit
1. Change Order Example (Primavera Contract Manager Letter Template)
2. Change Order Memo Example
3. Contract Change Order Background (Form 3B) Example (Contract Compliance
Manual)
4. Change Documentation Checklist (file: Change Doc Checklist.xlsx)
5. Change Management Log Example (file: Change Mgmt Log.xlsx)
Page 48 of 73
2.5.17 - VER 02
2.5.17.9
Change Management
Change Order
Exhibit 1: Change Order Example (Page 1 of 3)
Page 49 of 73
2.5.17 - VER 02
2.5.17.9
Change Management
Change Order
Exhibit 1: Change Order Example (Page 2 of 3)
Page 50 of 73
2.5.17 - VER 02
2.5.17.9
Change Management
Change Order
Exhibit 1: Change Order Example (Page 3 of 3)
Page 51 of 73
2.5.17 - VER 02
2.5.17.9
Change Management
Change Order
Exhibit 2: Change Order Memo Example (Page 1 of 3)
Page 52 of 73
2.5.17 - VER 02
2.5.17.9
Change Management
Change Order
Exhibit 2: Change Order Memo Example (Page 2 of 3)
Page 53 of 73
2.5.17 - VER 02
2.5.17.9
Change Management
Change Order
Exhibit 2: Change Order Memo Example (Page 3 of 3)
Page 54 of 73
2.5.17 - VER 02
2.5.17.9
Change Management
Change Order
Exhibit 3: Contract Change Order Background (Form 3B) Example (Page 1 of 4)
Page 55 of 73
2.5.17 - VER 02
2.5.17.9
Change Management
Change Order
Exhibit 3: Contract Change Order Background (Form 3B) Example (Page 2 of 4)
Page 56 of 73
2.5.17 - VER 02
2.5.17.9
Change Management
Change Order
Exhibit 3: Contract Change Order Background (Form 3B) Example (Page 3 of 4)
Page 57 of 73
2.5.17 - VER 02
2.5.17.9
Change Management
Change Order
Exhibit 3: Contract Change Order Background (Form 3B) Example (Page 4 of 4)
Page 58 of 73
2.5.17 - VER 02
2.5.17.9
Change Management
Change Order
Exhibit 4: Change Documentation Checklist
Page 59 of 73
2.5.17 - VER 02
2.5.17.9
Change Management
Change Order
Exhibit 5: Change Management Log Example
Page 60 of 73
2.5.17 - VER 02
2.5.17.9
Change Management
Change Order
Contractor
Review draft
Change Order and
provide comments
(if necessary)
Sufficient funds in
the CWO?
CM
From Change
Management (See
CMDPM 2.5.17.2 or
2.5.17.3)
YES
NO
START
and
Total of all
COs < 25% of orig.
contract amount?
Prepare draft CO
Memo
(See Exhibit 2)
NO
Unilateral
Change Order
Distribution:
Record Center (Original)
Project file (w/ back-up docs
& CO Memo)
Contract Administrator
Administrative Aide
Construction Manager
Inspector
Principal Inspector
Program Manager
SBE Office
Are there
any substantive
comments from the
Contractor?
NO
and
Incorporate review
comments and
send draft to
Contractor (Retain
all in project
records)
and
Finalize CO - Print
two original copies
DCC OUT:
Transmit both
original COs to
Contractor (w/out
back-up docs)
(See CMDPM 2.2.3)
DCC IN
(See CMDPM
2.2.2)
YES
Initial
Prepare Change
Order
Documentation
and maintain in
the project records
NO
END
Unilateral
Change Order
Review
Update the
Purchase
Order
(See CMDPM
2.5.19)
DCM
PM
Initial
CHE
Review
Executive
Director
Managing
Director,
Engineering
Initial
Initial
Transmit one
original CO to
Contractor
(See CMDPM 2.2.3)
Return to Change
Management (See
CMDPM 2.5.17.2 or
2.5.17.3)
Admin
Support
CM
Supervisor
/ DCHE II
YES
Finalize CO Memo
Prepare draft CO
(See Exhibit 1)
Prepare Change
Order Background
Form (Form 3b)
NO
Incorporate
Contractor review
comments
YES
NO
Total of all
CPCOs & COs <
Exec Dir authority
(typ. $100k)?
(Original)
Executed Change
Order
Sign
Page 61 of 73
2.5.17 VER 02
2.5.17.10
Change Management
Contract Amendment
Page 62 of 73
2.5.17 - VER 02
2.5.17.10
Change Management
Contract Amendment
Sign Contract
Amendment and
provide proof of
current insurance
START
From Change
Order (See
CMDPM 2.5.17.9)
Complete Contract
Compliance Form,
SBE Form and
request Contract
Amendment from
Admin Staff.
Request updated
Contract insurance
requirements from Risk
Mgmt. and Prepare
Memo requesting C/AT
prepare a Contract
Amendment
Begin Drafting
BHC Memo
DCC OUT
(See CMDPM
2.2.3)
DCM
Review
Route draft
Contract
Amendment for
review
Send revisions to
C/AT (If needed)
NO
Prepare letter to
Contractor
DCC OUT
(See CMDPM
2.2.3)
DCC IN
(See CMDPM
2.2.3)
Hold Original
Obtain BHC
Approval
(See CMDPM
2.5.17.11)
Return to
Change Order
(See CMDPM
2.5.17.9)
Prepare Memo
requesting C/AT
sign Contract
Amendment &
request insurance
approval from Risk
Mgmt.
DCC OUT
(See CMDPM
2.2.3)
END
Route Contract
Amendment to
Executive Director
Review
Sign Memo
Sign
Review
Prepare draft
Contract
Amendment
Prepare Final
Contract
Amendment
Sign Memo
Sign Contract
Amendment
Executive
Director
Include copy of
signed Contract
Amendment with
BHC Memo
YES
DCHE II
Admin Support
CM
Contractor
Sign Contract
Amendment
Page 63 of 73
2.5.17 VER 02
2.5.17.11
Change Management
Board Authorization
2.5.17.11 BOARD AUTHORIZATION
A. Overview
A change order in excess of the Executive Directors authority ($100,000) requires
approval by the Board of Harbor Commissioners. Since the cumulative total of change
orders is also subject to the Executive Directors authority, once a change order is
approved it is typically presented to the Board of Harbor Commissioners for ratification
along with a request to restore the Executive Directors authority to $100,000.
B. Flowchart (see page 66)
C. Procedure
1. The CM needs to obtain Board of Harbor Commissioners authorization for the
following actions:
a. Request approval of a change order that will exceed the Executive Directors
change order authorization (typically $100,000) either individually or
cumulatively.
b. Ratify (retroactively approving) any change order previously executed by the
Executive Director in order to restore the Executive Directors authority to
$100,000.
c. Request an Amendment to the construction contract if the cumulative value
of the change orders exceeds 25% of the original contract amount.
d. Request a supplement to the Work Order to provide funds for the change
orders and/or additional staff time required to design or manage the change
orders (collaborative with the PM)
e. Request a revision to the project budget to reflect the change orders (PM
responsibility)
2. The CM prepares a draft memo to the Board of Harbor Commissioners. The memo
may be for one or more of the above actions.
3. If the action is an Amendment, the Admin Analyst drafts a memo requesting the City
Attorney prepare the Amendment. The City Attorney sends a draft copy of the
Amendment to the CMD which is routed for review. The final Amendment is sent to
the Contractor for signature. Once signed by the Contractor, the Admin Analyst
sends a copy to the CM which is included as an attachment to the Board Memo.
4. The CM routes a yellow draft of the memo in accordance with the timeline
requirements in the latest Board Memo Guidelines issued by the Chief Harbor
Engineer. The memo is routed in a red folder labeled Board Memo.
Page 64 of 73
2.5.17 - VER 02
2.5.17.11
Change Management
Board Authorization
The routing order is as follows:
a. POLB CM supervisor
b. Admin Analyst
c. Program Manager (if supplementing the work order or revising the budget)
d. Director of Construction Management
e. Chief Harbor Engineer
5. The CM finalizes the Board Memo and routes a final white copy along with all draft
copies in the red folder to the Director of Construction Management for signature.
The memo must be signed and turned in to the 6th floor per the Board Memo
Guidelines.
6. The CM places the digital copy of the memo (MS Word) on the N drive under
N:\Construction-Inspection Group\BHC Memos.
7. The CM provides any back-up or background information that is requested by the
Director of Construction Management in order to present the item at the Board
meeting.
8. The Board of Harbor Commissioners considers the action for approval.
9. If the requested action is an Amendment, the Admin Analyst drafts a memo
transmitting the Amendment to the Executive Director for signature. A copy of the
final approved Amendment is sent to the CM, and the original is sent to Records
Center.
Page 65 of 73
2.5.17 - VER 02
2.5.17.12
Change Management
Time and Material Tracking
When an unknown condition is encountered where the total extent of the work
cannot be determined, or where extra work is required in order to determine the
extent of the extra work required.
Extra work where the Contractors proposed price is considered unreasonable and an
agreement on the price of the work cannot be reached between the Contractor and
the Port.
Extra work where there is unusual or above normal risk associated with the work
and a lump sum, fixed price for the work might include additional costs and
contingencies from the Contractor to assume that risk. However the overall cost
might be less if the Port assumes the risk by directing the work to proceed on a
Time and Material basis.
Extra work that needs to proceed immediately in order to avoid potential delay or
other impact costs. Documention including analysis of the contractors accepted
baseline and updated schedule verifying the need for the work to proceed in
advance of negotiating a lump sum price is required in the file.
Extra work that could delay the projects schedule where initially the work needs to
proceed in advance of reaching agreement on a lump sum amount with the
Contractor. To avoid or minimize potential delays, the work should be directed to
begin on a time and material basis, with a not-to-exceed amount sufficient for the
work to be initiated, then the change would subsequently be revised to the full lump
sum agreed amount.
In these instances proceeding with the extra work on a not-to-exceed, time and material
basis may be the best method of mitigating the overall cost associated with the extra
work. When extra work is directed on a time and material basis, required
documentation to remain in the project file shall include; the basis of the not-to-exceed
amount and justification for proceeding with the work on a time and material basis,
including an analysis of the baseline and/or recent schedule update indicating the
potential schedule impact and overall delay to the project.
Tracking work on a time and material basis may also be required if there is a dispute
between the Contractor and the Port regarding entitlement for additional compensation
for the work in question. In this instance, the Contractor can be directed to proceed
with the work as disputed work, where the work is tracked through daily reports
Page 67 of 73
2.5.17 - VER 02
2.5.17.12
Change Management
Time and Material Tracking
completed and submitted by the Contractor. Refer to Section 2.5.17.8 Claims Deemed
No Merit.
B. Flowchart (see page 73)
C. Procedure
1. Once the determination has been made that the extra work should proceed on a
time and material basis, a rough order of magnitude estimate of the not-to-exceed
amount associated with the work shall be prepared and maintained in the
project/change order file for purposes of determining an appropriate not-to-exceed
authorization amount. (If the full scope for the work cannot be determined at the
time the CPCO is written, the rationale for the stated not-to-exceed amount needs to
be provided and included in the project file.)
2. A signed Daily Extra Work Report shall be prepared by the Contractor for all work
performed on a Time and Material basis and submitted to the Ports Inspector at the
end of each work day for approval and sign off.
3. The CM, with support from the Inspector and information from the Contractor, shall
track the approximate cumulative cost of the work on a daily basis. Once the
approximate cost reaches 75% of the not-to-exceed amount, the CM estimates the
remaining work and issues a revised WATO or CPCO to increase the not-to-exceed
amount. The WATO or revised CPCO uses the same number as the original one,
followed by a -R1 (i.e., CPCO 04-R1), and the description shall reference the
previously issued authorization, the date issued, and shall indicate that it supersedes
the previously issued authorization (See Exhibit 1).
4. Upon receipt of the total accumulation of costs related to the extra work from the
Contractor, the CM shall verify the labor and equipment hours against the Daily Extra
Work Reports as well as the inspectors Daily Inspection Report.
5. The CM shall verify the labor and equipment rates reflected on the total
accumulation of costs along with the material costs. The labor rates should be
verified against the General Prevailing Wage Determination (See Exhibit 2) for the
applicable trade classification or against the Contractors Certified Payroll records
(See General Condition 7.4.1(3)). Hourly equipment rates shall be verified against
actual rental invoices for rental equipment or a recognized publication of equipment
rental rates in the area for Contractor owned equipment. Material costs shall be
verified against actual receipts provided by the Contractor.
6. The appropriate prime and subcontractor mark-ups specified in the contract
documents for labor, equipment, material, and lower tier sub-contractors shall be
applied to the corresponding extra work or disputed work item. The resulting total
accumulated cost associated with the extra or disputed work shall be compared
against the contractors submitted total (that has been verified by the Ports
inspector). In order to resolve any difference between the Port and Contractors
tabulation of the actual costs, the CM shall meet with the Contractor to determine
CMD Procedures Manual
Page 68 of 73
2.5.17 - VER 02
2.5.17.12
Change Management
Time and Material Tracking
any additional back-up documentation that is needed from the Contractor to identify
where the discrepancy exists between the totals. An example of such additional
back-up information would be material receipts or shop fabrication labor.
7. After agreement is reached between the CM and the Contractor on the total
accumulation of cost and time for the extra work performed on a time and material
basis, the corresponding WATO or CPCO log shall be revised to reflect the actual
cost and to indicate it is a final cost and final time impact. A time and material final
billing document shall be signed by the Contractor, CM and Senior CM and
maintained in the project file. The CM shall endeavor to obtain agreement with the
Contractor that final costs of time and material work are full and final costs
including all delay and impact cost if any. Formal change orders issued to authorize
time and material work shall be adjusted to take credits for unused amounts in a
subsequent deductive change order.
D. Exhibits
1. Daily Extra Work Report, Form HD-E-9 (10/2007), a triplicate carbon-copy form with
white, yellow and pink sheets.
2. General Prevailing Wage Determination made by the Director of Industrial Relations
(Example)
Page 69 of 73
2.5.17 - VER 02
2.5.17.12
Change Management
Time and Material Tracking
Page 70 of 73
2.5.17 - VER 02
2.5.17.12
Change Management
Time and Material Tracking
Page 71 of 73
2.5.17 - VER 02
2.5.17.12
Change Management
Time and Material Tracking
Page 72 of 73
2.5.17 - VER 02
2.5.17.12
Change Management
Time and Material Tracking
B. Flowchart
Change Management Time and Material Tracking
CM
Contractor
CM Supervisor
Inspector
START
NO
From Change
Management (See
CMDPM 2.5.17.2 or
2.5.17.3)
Repeat tracking
until change work
is complete.
Verify quantity,
labor
classifications,
equipment and
materials. Sign
extra work report.
Distribution:
CM (Original)
Inspector
Contractor
YES
Revise
CPCO,WATO or
CO.
Work Completed
Contractor and
POLB Agree on
Final Cost and
Time.
END
Page 73 of 73
2.5.17 - VER 02
2.6
Contract Closeout / Post-Construction Phase
DOCUMENT APPROVAL:
VER
Date
01
2/5/10
Approved By:
Gary J. Cardamone
Director of Construction Management
REVISION HISTORY:
VER
Date
Summary of Changes
Page 1 of 1
2.6 - VER 01
2.6.1
Contract Closeout Checklist
INDEX:
Section
Page
A. Flowchart .................................................................... 2
B. Purpose and Policy Overview ........................................ 3
C. Roles and Responsibilities ............................................. 3
D. Procedure ................................................................... 3
E. Summary of Documents Generated ............................... 4
F. Exhibit ........................................................................ 4
1. Contract Closeout Checklist ..................................... 5
DOCUMENT APPROVAL:
VER
Date
01
2/5/10
Approved By:
Gary J. Cardamone
Director of Construction Management
REVISION HISTORY:
VER
Date
Summary of Changes
Page 1 of 6
2.6.1 - VER 01
2.6.1
Contract Closeout Checklist
A. FLOWCHART
Contract Closeout Checklist
DCM
CM Supervisor
Inspection
Section
CM
Admin Support
Section
SBE Office
START
D.1
Has the
notice of Substantial
Completion been
issued?
D.1
NO
Begin
Closeout Phase
after Contract is
Substantially
Complete
YES
D.2
Obtain a copy of
the current
Closeout Checklist
D.3
D.3
D.4
D.4
Obtain periodic
status updates
Obtain periodic
status updates
Complete
Closeout
tasks and update
Checklist
throughout Closeout Phase.
Provide periodic
status updates to
Supervisors.
D.3
Coordinate
Status
of Stop Notices,
Consent of
Surety, Thirdparty record
requests, and
Third-party claims
D.3
SBE approval to
proceed with
Final Acceptance
D.6
All items
in Checklist are
complete & contract
is ready for
Acceptance?
NO
YES
D.7
D.6
(ORIGINAL)
Verify & Sign
(ORIGINAL)
Sign
Checklist
D.9
D.8
Include a
copy of signed
Checklist with
draft BHC Final
Acceptance Memo
(or Final Payment
for Informal
Contracts)
Distribution:
DCC (original to project file)
CM
CM Supervisor
END
Page 2 of 6
2.6.1 - VER 01
2.6.1
Contract Closeout Checklist
B. PURPOSE AND POLICY OVERVIEW
The purpose of the Contract Closeout Checklist is to provide the Construction Management
Team members with a quick summary reminder of activities that occur during the Closeout
and Post-Construction Phases, and provide a status summary for supervisors and managers
to ensure activities are completed prior to going to the Board of Harbor Commissioners for
Final Acceptance.
A Contract Closeout Checklist shall be completed and signed for all Formal Construction
Contracts prior to proceeding to the Board of Harbor Commissioners for Final Acceptance.
For Informal Contracts, the Checklist shall be completed and signed prior to processing the
final payment. The Construction Manager assigned to the project is responsible for
completing the checklist and obtaining the status of the various items in the checklist from
the project team members. However, every project team member is encouraged to use the
checklist as a reference.
This Section refers to the policies and procedures for the checklist only. Policies and
procedures for the various items within the checklist may be found under their associated
Section in this Manual.
C. ROLES AND RESPONSIBILITIES
Construction Management Division:
1. Administrative Support: Provide status of Stop Notices, Consent of Surety, third-party
claims, and records requests.
2. Construction Manager: Responsible for the Closeout Checklist process. Complete the
Checklist and ensure all items are completed in a timely manner. Obtain status updates
from the various individuals responsible for completing the tasks. Notify CM Supervisor
of issues preventing the timely completion of any item.
3. CM Supervisor: Review checklist periodically. Verify Contract Closeout Checklist items
are complete and sign final Checklist.
4. DCC: Index, scan, log, file, and distribute final Checklist.
5. DCM: Review copy of final Checklist prior to signing BHC Final Acceptance memo, or
final payment for Informal Contracts.
Other Bureaus/Divisions:
1. SBE Office: Provide status of SBE approval.
D. PROCEDURE
1. Begin the Contract Closeout Checklist process after Substantial Completion is issued.
Page 3 of 6
2.6.1 - VER 01
2.6.1
Contract Closeout Checklist
2. The CM obtains the most current version of the Contract Closeout Checklist from
N:\Construction-Inspection Group\Construction Forms\Chklst-Closeout (version
date).xlsx.
3. The CM inputs the status of each item on the Checklist. For items the CM is not directly
responsible for completing, the CM obtains status updates from the responsible party. If
the answer is No or N/A, the CM must explain the reason in the Comments box
next to the item.
4. The CM notifies the CM Supervisor of issues delaying the timely completion of any item.
5. The CM provides a copy of the Checklist to the CM Supervisor as requested.
6. Once all items have been completed, the CM signs the final version and gives to the CM
Supervisor.
7. The CM Supervisor verifies completion of each item and signs the final Checklist.
8. The CM includes a copy of the signed final Checklist with the draft copy of the Board of
Harbor Commissioners memo requesting Final Acceptance, or with the final payment for
Informal Contracts.
9. The CM gives the original signed Checklist to DCC.
10. The DCC stamps, scans, logs in Contract Manager (DCC OUT), files the original in the
project files, and distributes copies to the CM and CM Supervisor.
E. SUMMARY OF DOCUMENTS GENERATED
1. Contract Closeout Checklist
Template/Working File
Template File Name
Chklst-Closeout (version).xlsx
Template Location
File Type
MS Excel
Completed by
CM
CM's C: or M: drive
Final Document
Original Hard Copy
Project File
File Index
19
Archive Scan
CM
CM Supervisor
F. EXHIBIT
1. Contract Closeout Checklist
Page 4 of 6
2.6.1 - VER 01
2.6.1
Contract Closeout Checklist
Exhibit 1: Contract Closeout Checklist
Page 5 of 6
2.6.1 - VER 01
2.6.1
Contract Closeout Checklist
Page 6 of 6
2.6.1 - VER 01
2.6.6
Post-Construction Review
INDEX:
Section
Page
A. Flowchart .................................................................... 2
B. Purpose and Policy Overview ........................................ 4
C. Roles and Responsibilities ............................................. 4
D. Procedure ................................................................... 5
E. Reference.................................................................... 6
F. Exhibits
1. Post-Construction Survey (Page 1 of 8) .................... 7
2. Post-Construction Review Meeting Agenda................ 8
3. Final Post-Construction Review Report
Sample (Page 1-2 of 14) ......................................... 9
DOCUMENT APPROVAL:
VER
Date
01
12/18/09
Approved By:
Gary J. Cardamone
Director of Construction Management
REVISION HISTORY:
VER
Date
Summary of Changes
Page 1 of 10
2.6.6 - VER 01
2.6.6
Post-Construction Review
A. FLOWCHART
Post-Construction Review
Post-Con Review
Participants
CM
START
D.1
Award
amount over $1 mill.
(or selected by DCM
for a Post-Con)
NO
YES
D.1
Project Accepted
by BHC?
NO
YES
D.2-3
Obtain a copy of
the Post-Con
Survey file & modify
(see [Survey
Administrator] tab
for instructions)
D.4
D.4
Distribution:
Director of Construction Management
Deputy Chief Harbor Engineer II
Deputy Chief Harbor Engineer I
Chief Inspector
CM staff assigned to the contract
Administrative Analyst I
Principal Inspector
Lead Inspector
Major Discipline Inspectors (if applicable)
Chief Surveyor
Survey Party Chief
Director of Program Management
Deputy Chief Harbor Engineer II (PM)
Program Manager
Director of Design
Design Engineer
Chief Harbor Engineer
Contractor
Third-Party Coordinators
Project Product Owner (i.e. tenant)
D.5
E-mail Survey to
Project Team and
Survey Participants
Complete the
survey
electronically and
e-mail the
response
D.6
Create Master
Copy file and input
survey results
(see [Survey
Administrator] tab
for instructions)
Page 2 of 10
2.6.6 - VER 01
2.6.6
Post-Construction Review
Post-Construction Review
Post-Con Review
Participants
CM
and
D.9
Create Draft
Post-Con Report,
Summary of
Comments, &
Ratings by Role
Summary
D.7
Schedule Post-Con
Review Meeting &
arrange for room
D.9
D.8
Send e-mail
invite to Survey
Participants (except
Contractor, ThirdParties, and Tenant)
D.10
Participate
in Post-Construction
Review Meeting
(except Contractor,
Third-Parties, and
Tenant)
D.10
Conduct Post-Con
Review Meeting
D.11
Enter
comments
from the meeting
into Master
Copy file to
create Final
Post-Con Report
Print
Final Post-Con
Review Report
& Sign
D.12
D.13-14
DCC OUT
(Go to CMDPM
2.2.3)
END
D.13
Distribution:
Director of Construction Management
Deputy Chief Harbor Engineer II
Deputy Chief Harbor Engineer I
Chief Inspector
CM staff assigned to the contract
Administrative Analyst I
Principal Inspector
Lead Inspector
Major Discipline Inspectors (if applicable)
Chief Surveyor
Survey Party Chief
Director of Program Management
Deputy Chief Harbor Engineer II (PM)
Program Manager
Director of Design
Design Engineer
Chief Harbor Engineer
Page 3 of 10
2.6.6 - VER 01
2.6.6
Post-Construction Review
B. PURPOSE AND POLICY OVERVIEW
The purpose of the Post-Construction Review is to provide feedback to staff and other
stakeholders to improve the quality and cost effectiveness of future projects. The objective of
the review is to:
Assess the project outcome
Document the project
Evaluate best practices
Examine project issues and lessons learned
Provide recommendations for improvement for future projects
A Post-Construction Review will be conducted, generally after the contract has been accepted
by the Board of Harbor Commissioners, for all construction contracts with award amounts over
$1 million, or as selected by the Director of Construction Management.
C. ROLES AND RESPONSIBILITIES
Construction Management Division
1. DCC: File and distribute Final Report.
2. Administrative Support: Participate in survey and Post-Con Meeting.
3. Lead Inspector: Participate in survey and Post-Con Meeting.
4. Principal Inspector: Participate in survey and Post-Con Meeting.
5. Chief Inspector: Participate in survey and Post-Con Meeting.
6. Construction Manager: Responsible for the Post-Construction Review process..
Distribute survey, collect and analyze results, schedule and conduct Post-Con Meeting,
produce and sign Final Post-Con Report.
7. CM Supervisor: Participate in survey and Post-Con Meeting.
8. Survey Party Chief: Participate in survey and Post-Con Meeting.
9. Chief Surveyor: Participate in survey and Post-Con Meeting.
10. DCHE I: Participate in survey and Post-Con Meeting.
11. DCHE II: Participate in survey and Post-Con Meeting.
12. DCM: Participate in survey and Post-Con Meeting.
Other Bureaus/Divisions
1. PM: Participate in survey and Post-Con Meeting. Determine if Design Consultant will
participate in survey.
2. Deputy Chief Harbor Engineer II (PM): Participate in survey and Post-Con Meeting.
3. Director of Program Management: Participate in survey and Post-Con Meeting.
CMD Procedures Manual
2.6.6 Post-Con VER 01.docx
Page 4 of 10
2.6.6 - VER 01
2.6.6
Post-Construction Review
4. Director of Design: Participate in survey and Post-Con Meeting.
5. In-house Design Engineer (if applicable): Participate in survey and Post-Con Meeting.
Outside/Third Party
1. Design Consultant: Participate in survey, if requested by PM.
2. Construction Management Consultant Support Staff (if applicable): Participate in survey
and Post-Con Meeting.
3. Contractor: Participate in survey.
4. Third-Party Coordinators: Participate in survey.
5. Project Product Owner (i.e. tenant): Participate in survey.
D. PROCEDURE
1. Begin Post-Construction Review process for construction contracts with an award
amount over $1 million after contract has been accepted by the Board of Harbor
Commissioners (BHC). If it appears the close-out phase will be delayed due to litigation
or an extended maintenance period, discuss with the Director of Construction
Management whether to proceed with a Post-Construction Review prior to BHC
Acceptance.
2. The CM obtains a copy of the most current Post-Con Survey Excel file from
N:\Construction-Inspection Group\Construction Forms\Post-Con Review (version
date).xlsx. Instructions for administering the Survey can be found on the [Survey
Administrator] tab. (See Exhibit 1)
3. The CM enters the Specification Number, Title, Date, and return e-mail information in
the [Survey] tab, and saves the Survey file.
4. The CM e-mails the survey to the Survey Participants. Include, at a minimum, the
following:
Director of Construction
Management
Deputy Chief Harbor
Engineer II
Deputy Chief Harbor
Engineer I
Chief Inspector
Construction Management
staff assigned to the contract
Administrative Analyst I
Principal Inspector
Lead Inspector
Major Discipline Inspectors (if
applicable)
CMD Procedures Manual
2.6.6 Post-Con VER 01.docx
Page 5 of 10
Chief Surveyor
Survey Party Chief
Director of Program Management
Deputy Chief Harbor Engineer II (PM)
Program Manager
Director of Design
Design Engineer (in-house)
Chief Harbor Engineer
Contractor
Third-Party Coordinators (utilities,
tenant, COLB, etc. survey only)
Project Product Owner (i.e. the tenant
for terminal improvements, Maintenance
for sewer lift station, etc. survey only)
2.6.6 - VER 01
2.6.6
Post-Construction Review
5. The Survey Participants fill out the survey electronically and e-mail the completed survey
file to the CM. Instructions on how to fill out the survey can be found on the [Survey
Instructions] tab.
6. The CM saves a duplicate copy of the Survey file to use as the Master Copy and
copies and pastes the survey results from each completed survey into the Master file.
7. The CM schedules the Post-Construction Review Meeting and arranges for a room.
8. The CM sends out an e-mail invitation to the Survey Participants listed in D.4, except for
the Contractor, Third-Party Coordinators, and Project Product Owner.
9. The CM prepares for the Post-Construction Review Meeting by doing the following:
a. Fill-out the information on the [REPORT] tab, adjust the row heights as
necessary, and print copies of the Draft Post-Construction Report for the
meeting participants to review at the meeting.
b. Print a copy of the Average Rating by Role on the [Raw Scores] tab.
c. Print a copy of the Summary of Comments on the [COMMENT SUMMARY] tab.
d. Prepare the Meeting Agenda using the [Meeting Agenda] tab. (See Exhibit 2)
e. Prepare the Sign-in Sheet using the [Sign-in Sheet] tab.
10. The CM conducts the Post-Construction Review Meeting.
11. The CM enters any additional comments from the discussion at the Post-Construction
Review Meeting into the Master Copy file.
12. The CM prints out and signs the Final Post-Construction Report.
13. The CM e-mails the Final Post-Construction Report to the Survey Participants listed in
D.4. above (except for the Contractor, Third-Party Coordinators, and Project Product
Owner) and gives the original to DCC. (See Exhibit 3)
14. The DCC stamps, indexes, scans, enters into Contract Manager, and files the original in
the project file.
E. REFERENCE
1. Environmental Management System Procedure EMS-SP9
F. EXHIBITS
1. Post-Construction Survey (Page 1 of 8)
2. Post-Construction Review Meeting Agenda
3. Final Post-Construction Report Sample (page 1-2 of 14)
Page 6 of 10
2.6.6 - VER 01
2.6.6
Post-Construction Review
Exhibit 1: Post-Construction Survey (Page 1 of 8)
Page 7 of 10
2.6.6 - VER 01
2.6.6
Post-Construction Review
Exhibit 2: Post-Construction Review Meeting Agenda
Page 8 of 10
2.6.6 - VER 01
2.6.6
Post-Construction Review
Exhibit 3: Final Post-Construction Review Report Sample (Page 1-2 of 14)
Page 9 of 10
2.6.6 - VER 01
2.6.6
Post-Construction Review
Page 10 of 10
2.6.6 - VER 01
2.6.7
Contract Closeout Data Sheet
Page
A.
Flowchart .................................................................................. 2
B.
C.
D.
Procedure ................................................................................. 3
E.
References ................................................................................ 7
F.
Exhibits..................................................................................... 7
1. Contract Closeout Data Sheet ................................................. 8
DOCUMENT APPROVAL:
VER
Date
01
6/28/10
Approved By:
Date
Summary of Changes
Page 1 of 8
2.6.7 - VER 01
2.6.7
Contract Closeout Data Sheet
A. FLOWCHART
Contract Closeout Data Sheet
DCM
CM Supervisor
Administrative
Support Section
Inspection Section
CM
SBE Office
START
D.1
Confirm Contract is
ready for Final Acceptance
(Sections A, B, & C of the
Contract Closeout Checklist
complete)
(see CMDPM 2.6.1)
D.2
D.3.c
D.3
Provide On-Call
Contract data
Fill out CCDS form.
Request data as
necessary.
D.3.e
D.4
(ORIGINAL)
Print final version
and sign
D.7
Review and
Sign
D.6
D.5
Review
D.8
Include a copy
of signed CCDS for DCMs
use with final Board
Memo for DCM signature
(see CMDPM 2.6.2)
D.10
Input data
into PB Views and
CMD Performance
Measures
spreadsheet
(see CMDPM 1.5)
D.9
D.12
D.11
D.11
Distribution:
CM
CM Supervisor
Administrative
Analyst
SBE Administrator
DCC
Put Original
CCDS in DCMs
Closeout Binder, copy
in Admin Aides
Binder, and distribute
DCC IN
(See CMDPM 2.2.3)
END
Page 2 of 8
2.6.7 - VER 01
2.6.7
Contract Closeout Data Sheet
B. PURPOSE AND POLICY OVERVIEW
The Contract Closeout Data Sheet (CCDS) provides a quick summary of general contract
information and key cost and time metrics. The purpose of the CCDS is to:
Provide a reference document for reviewers of the draft Final Acceptance memo
Assist the DCM in preparing for the Board presentation of Final Acceptance
Assist POLB management in evaluating the level of successes of the various aspects
of the contract and the construction management team
Provide an easy reference to compare statistics between multiple projects
The Contract Closeout Data Sheet must be completed prior to going to the Board of Harbor
Commissioners for Final Acceptance.
C. ROLES AND RESPONSIBILITIES
Construction Management Division:
1. Administrative Aide: Input CCDS information into PB Views and CMD Performance
Measures spreadsheet. Copy and distribute CCDS.
2. Administrative Analyst: Provide FAMIS cost reports.
3. Construction Manager: Responsible for the CCDS process. Obtain the necessary
information, complete and sign the CCDS.
4. CM Supervisor: Review CCDS.
5. DCC: Stamp, index, scan, attach in Contract Manager, and file final CCDS.
6. Director of Construction Management: Review and sign CCDS.
7. Principal Inspector: Provide On-Call Contract information.
Other Bureaus/Divisions:
1. SBE Office: Verify SBE/VSBE amounts.
D. PROCEDURE
1. Begin CCDS process when Contract is close to Final Acceptance (typically once Sections
A, B, and C of the Contract Closeout Checklist are complete - see CMDPM 2.6.1 Contract
Closeout Checklist).
2. The CM obtains the most current version of the Contract Closeout Data Sheet from
N:\Construction-Inspection Group\Construction Forms\Contract Closeout Data Sheet
(version date).xlsx.
Page 3 of 8
2.6.7 - VER 01
2.6.7
Contract Closeout Data Sheet
3. The CM inputs the data on the form.
a. Number of Requests for Information includes the number of re-submitted RFIs.
For example, the last RFI number was 100, however 20 of those RFIs were resubmitted for clarification or additional information, therefore the total quantity
of RFIs is 120.
b. The number of submittals, WATOs, and CPCOs do not include the number of resubmittals or revisions.
c. Request ACTO information from the Principal Inspector managing the On-Call
Construction Contracts.
d. The Contract Contingency Budget can normally be found on the CWO
Supplement in the Board of Harbor Commissioners Conditional Award memo.
Contingency increases may occur through additional CWO Supplements during
the contract if the initial Contingency Budget is expended through Change
Orders. Consult with the Program Manager.
e. The Final CM Costs are all the charges by the Construction Management
Division charged to the project for construction management services, such as
POLB CM and inspection staff, CM consultant support, and On-Call Inspection
and Material Test Lab services. It should not include other services provided by
CMD, such as On-Call Contract services or Surveying services. Request the
appropriate cost report from the Administrative Support Section.
f.
Page 4 of 8
2.6.7 - VER 01
2.6.7
Contract Closeout Data Sheet
iv.) If the Contract includes a Maintenance Period, check the Yes box next to
Maint. Period? and fill in the actual Maintenance Period completion date
and the Maintenance Period duration.
v.) Acceptance is the proposed Board of Harbor Commissioners meeting
date for Final Acceptance.
vi.) Closeout days is the number of days between Substantial Completion
(or Maintenance Period completion, if applicable) and Final Acceptance.
h. A delay is defined as an impact to the required Contract completion date.
Excusable delays result in an extension of the contract time, and inexcusable
delays result in Liquidated Damages. Types of Delay are as follows:
i.) Compensable is an excusable delay for which the Contractor is entitled
to compensation for delay costs. Delay costs are costs not covered by
the mark-up on the direct costs associated with a change. The delay
time excludes any concurrent non-compensable delay (i.e. weather
and/or Contractor-caused delay). Categories include:
1. Owner Enhancement Delay resulting from changes generated by
either the Port, or the Tenant/facility owner, changing their mind
and requesting something different. Compensation for the delay
is included in the Change Order Category 1 -Owner Enhancement.
2. Unforeseen Conditions Delay resulting from changes generated
by the discovery of existing conditions which are not foreseeable.
Compensation for the delay is included in Change Order Category
3 Unforeseen Conditions.
3. Design Related Delay resulting from a code compliance issue,
design clarification, or errors and omissions. Compensation for
the delay is included in the corresponding Change Order Category
2, 4 and/or 5.
4. Owner Caused Delay caused by any Port representative,
including consultants, and/or any third party (i.e. tenant or utility).
Compensation for the delay is included in the Change Order
Category Other and explained in the Comments/Explanations
section.
ii.) Non-Compensable is an excusable delay for which the Contractor is not
entitled to additional compensation. Categories include:
1. Concurrent The time in which a Compensable Delay occurred at
the same time as a Contractor-caused delay. This time does not
include concurrent weather delays.
Page 5 of 8
2.6.7 - VER 01
2.6.7
Contract Closeout Data Sheet
2. Weather Delay due to adverse weather conditions, including any
days which were concurrent with a Compensable delay.
3. Other Any other non-compensable time extension not covered
under Concurrent or Weather.
iii.)
i.
4. The CM prints and signs the final version of the Contract Closeout Data Sheet.
5. The CM includes the original signed Contract Closeout Data Sheet with the draft copy of
the Board of Harbor Commissioners memo requesting Final Acceptance. (Reference
CMDPM 2.6.2 Final Acceptance)
6. The CM Supervisor reviews the Contract Closeout Data Sheet with the draft Board
memo.
7. The DCM reviews and signs the final version of the Contract Closeout Data Sheet, and
returns it to the CM with the draft Board memo.
8. The CM includes a copy of the final signed Contract Closeout Data Sheet with the final
version of the Board memo.
9. The CM gives the original Contract Closeout Data Sheet to the Administrative Support
Section.
10. The Administrative Aide inputs the data into PB Views for performance measures and
the CMD Performance Measures spreadsheet (see CMDPM 1.5 Performance Measures).
11. The Administrative Aide copies and distributes CCDS to the following:
a. DCM (original in DCM Closeout Binder)
b. CM
Page 6 of 8
2.6.7 - VER 01
2.6.7
Contract Closeout Data Sheet
c. CM Supervisor
d. Admin Aide (Closeout Binder)
e. Administrative Analyst
f.
SBE Office
g. DCC
12. The DCC stamps, indexes, scans, logs in Contract Manager (DCC IN), and files in the
project files.
E. REFERENCES
1. CMDPM 2.6.1 Contract Closeout Checklist
2. CMDPM 2.6.2 Final Acceptance
3. CMDPM 1.5 Performance Measures
F. EXHIBIT
1. Contract Closeout Data Sheet
Page 7 of 8
2.6.7 - VER 01
2.6.7
Contract Closeout Data Sheet
Exhibit 1: Contract Closeout Data Sheet
Page 8 of 8
2.6.7 - VER 01
3.1
Goals
3.1 GOALS
To the extent allowed by resources and budgets, the Construction Management Division will
strive to:
1) Assure that the construction work conforms to Contract Documents and all
Regulatory requirements.
2) Assure adequate documentation to verify that such compliance was achieved.
3) Provide complete and accurate records to document all on site and other critical
activities.2
4) Eliminate or minimize, to the extent possible, impacts to our tenants and the public.
5) Mitigate, to the extent possible, adverse impacts of the construction to the
environment.
6) Work collaboratively with the Contractor to facilitate a safe working environment at
the work site.
Page 1 of 1
3.1 - VER 01
3.2
Organization Chart / Roles and Responsibilities
3.2 ORGANIZATION CHART / ROLES AND RESPONSIBILITIES
A. Organization Chart for Inspection
Director of CM Division
DCHE I
Chief Construction
Inspector
Principal Inspector
Principal Inspector
Principal Inspector
Support Inspector
Principal Inspector
Deputy Inspector /
Technician from On
Call Test Lab
Director of Construction
Management Division
Page 1 of 2
3.2 - VER 01
3.2
Organization Chart / Roles and Responsibilities
Job Title
Chief Construction
Inspector
Principal Inspector
Lead Inspector
Support Inspector
On Call Deputy
Inspector/Technician
Page 2 of 2
3.2 - VER 01
3.3.1
Dredging
3.3.1 DREDGING
a. Safety
Heavy equipment and deep waters pose a significant threat to worker safety. Dangers of being
struck by moving equipment or a snapping cable and danger of being knocked or falling into
the water are the potential hazards of dredge work. It is extremely important that the Inspector
involved in dredge operations be aware of these potential hazards and uses the proper
procedures and PPE to work safely in the environment. These hazards can be minimized by
following the procedures described below:
Always wear your PPE and US Coast Guard approved personal flotation device.
Upon boarding a vessel for the first time, request an initial briefing with the dredging
foreman to become familiar with the vessel, equipment on board, dangerous areas to
avoid, presence and functioning of emergency alarm systems, and emergency
contingency plan.
Maintain communications with dredge crew for changed conditions and new dangers.
Avoid standing on or near moving equipment.
Do not stand or walk under elevated loads or ladders.
Be alert to corroded cables or damaged mooring ropes and report such observations to
the dredging contractors foreman.
Do not stand in the vicinity of lines/cables for long periods.
Stay away from the edge of the vessel.
Use extreme caution upon boarding/exiting the vessel.
Attendance at dredging contractors tail gate safety meetings is encouraged.
b. Types of Dredging
There are three types of dredging operations typically used in the Port. The particular type of
operation to be used on a dredge project as well as how the dredge is to be powered (Electric
vs. Diesel) may be called out in the project specifications. The three types of dredging are:
1) Clamshell Dredge This is a floating derrick barge that dredges with clamshell buckets
of various types and sizes. The material is excavated with a clamshell bucket that may
have teeth or straight edges. The excavated material is placed in a separate barge,
typically a split-hull bottom dump barge called a Scow. The material is placed to a
predetermined fill level before the maximum flow back time has been achieved. The
scow is then towed or pushed to the disposal site utilizing a tug or work boat. Once
positioned in the fill area, the hull mechanically splits in two and the dredge material
flows out of the bottom. The clamshell dredge is not required to have a licensed boat
captain on board.
Page 1 of 13
3.3.1 - VER 01
3.3.1
Dredging
2) Hopper Dredge This is a floating barge that has a self-contained material hold,
similar to a scow. Two long arm vacuum pumps are lowered on both the starboard and
port sides of the dredge, down to the ocean floor. The two pumps vacuum the material
up and place it into the hold area of the dredge. Once the material reaches a
predetermined fill level before the maximum flow back time is achieved, dredging stops
and the pumps are raised. The filled hopper dredge then proceeds to the disposal site
and places it into the fill area, similar to a bottom dump barge. The hopper dredge
captain is required to be properly licensed as specified in ACOE Permit.
3) Hydraulic Dredge Typically, this is a large floating barge with a single cutter head
mounted on a pivoting ladder that is lowered to the ocean bottom. The cutter churns up
the bottom material while vacuuming the dredge material with a ladder mounted pump
and an on-board pump. The material is pumped to the disposal site via steel or plastic,
floating or submerged pipeline. The discharge end of the pipeline may have a spill barge
that regulates velocity and placement of the material. It is common to position the
discharge pipe on the fill for placement. The hydraulic dredge operator is not required to
be a licensed boat captain.
c. Requirements Prior to Dredging
The Inspector shall verify the following before start of dredging project:
ACOE and CRWQCB permits are secured.
Thoroughly read and understand the conditions of applicable permits.
Become familiar with approved dredging plan.
Proper notification to ACOE and CRWQCB is made (generally 14 calendar days in
advance).
Notification to USCG is made.
Emergency contact list is available.
Electronic Positioning System of the vessel is certified.
MLLW (Mean Low Lower Water) datum is established and POLB Survey and the
contractor are in agreement. Depth of dredging and measurement method shall be clear
to all parties.
Bucket (Clamshell dredging) is of the size as approved.
Wire rope connected to the clamshell bucket is marked accurately for depth
measurements.
USCG Captain and Jacobson Pilots are notified.
Submerged utilities or marine cables, if any, are identified.
Load limit line, as required by the ACOE Permit, is established and marked on the
disposal barge or scow.
Verify the calibrations of free board rod at four corners of the barge.
Verify the barge accompanies an approved submittal of its displacement table.
Page 2 of 13
3.3.1 - VER 01
3.3.1
Dredging
d. Requirements During Dredging
The successful completion of a dredging project in compliance with regulatory permits requires
good collaboration between the POLB CM staff and its contractor. The Inspector shall verify the
following:
The vessel displays the regulatory permits (ACOE & CRWQCB etc.).
The Captain of the vessel is licensed as required.
Monitoring of VHF-FM channels 13 and 16 is performed.
Barge or scow shall not be filled above the load line.
No water shall be allowed to flow over the sides of a barge or a scow.
For hopper dredging, flow back time shall not exceed the limit as specified in ACOE
permit.
Depth of dredging shall be monitored closely by the contractor and verified by the
Inspector to prevent over digging and violation of permit requirements as well as to
prevent undermining slope or causing slope stability concerns.
e. Requirements During Disposal
The disposal of the dredge material requires the same level of monitoring as actual dredging
activities. The Inspector shall verify the following:
Material is disposed of in permitted locations in accordance with the contract
requirements.
Jacobsen Pilots is notified of each departure trip of disposal barge or scow.
Continuous course of each disposal trip to the disposal site is plotted.
Disposal barge or scow is not leaking during transportation trip. (Check for discoloration
and turbidity of the sailing waters)
Dredging crew gauge the barge before departure and after arrival at the disposal site.
For ocean disposal, the vessel shall be within the distance specified in ACOE permit from
the center of the disposal site during discharge.
Placement of disposal material shall be evenly distributed. Mounding shall be avoided.
For land disposal, transfer areas are kept clean and runoff is contained. Trucks are
watertight and roadways are kept free of dredge material.
f. Inspectors Daily Record and Daily Report
It is vital that complete and detailed records be kept of activities in the field and of discussions
pertaining to the dredging operations. The daily report needs to be prepared to withstand
scrutiny during the project and later in possible litigation. The contents of a Daily Inspection
Record shall include the following:
CMD Procedures Manual
3.3.01 - Dredging.docx
Page 3 of 13
3.3.1 - VER 01
3.3.1
Dredging
Page 4 of 13
3.3.1 - VER 01
3.3.1
Dredging
Dredging Stop Time Actual time the dredge stops picking up material and placing in
the barge.
Flow Back Start Time and Flow Back Stop Time This applies to Hopper Dredging only.
Flow back is defined as the dredged water that has been placed in the dredge hold
which over tops the dredges internal weir and flows back into the surrounding area
surface waters. The flow back time shall not exceed the limit as allowed by the ACOE
permit for each load.
Disposal Start Time Actual time when dumping begins.
Disposal Stop Time Actual time when dumping is complete.
Barge Draft at Start of Disposal Trip Record the actual barge gauge reading before
the barge leaves for disposal. The free board shall be measured by the barge crew at
four corners of the barge. The Inspector shall verify the reading.
Barge Draft on Arrival at Disposal Site Record the actual barge gauge reading 5
minutes before disposing the dredge material. The free board shall be measured by the
barge crew at four corners of the barge. The Inspector shall verify the reading.
Dredging and Disposal Operations All the requirements of this table shall be
answered Yes or No by the Inspector or Contractors rep. as noted on the report
form. Explain the No answer and what corrective action was taken.
Signature Both the Inspector and Contractors rep are required to sign and print their
names on the report.
The contents of California Regional Water Quality Control Board (CRWQCB)
Permit report are similar to that of ACOE Permit report except the following:
Dredging and Disposal Monitoring Answer all the questions in the table. Some of the
questions need to be answered by the contractors representative. Make sure no column
is left blank.
h. Permit Violations
If the Inspector observes that any one of dredging permit requirements may have been or
about to be violated, try to resolve it with contractors representative before it becomes a
violation. If a resolution cant be made and a violation is imminent, the Inspector shall issue a
Report of Possible Violation to the contractor. Contact the Director of Construction
Management as soon as possible and ask for further directions if ACOE needs to be notified by
the Director of Construction Management.
i.
The Construction Manager coordinates with appropriate assigned staff from the Program
Management Division and the Environmental Planning. The goal is to ensure total permit
compliance for all dredging operations. The CM shall verify the following:
Sampling and testing of material to be dredged is completed by the Environmental
Planning Division in a timely manner.
Page 5 of 13
3.3.1 - VER 01
3.3.1
Dredging
All necessary permits (ACOE, CRWQCB, EPA etc.) are secured by Environmental
Planning.
Authorization to Dredge is issued by ACOE for specific project.
A pre-dredge survey is conducted within 30 days and 90 days prior to actual
dredging (The time is dictated by ACOE Permit).
The CM arranges a pre-construction meeting with all involved. Discuss all possible
violations of the permits, specifically over-dredging, and checks to avoid violations.
Notifications to all Permitting Authorities are made by responsible party.
First notification to USCG and Jacobson Pilots is made by responsible party.
SCAQMD (South Coast Air Quality Management District) permit is obtained by the
contractor for a diesel dredge.
Disposal site is clearly defined.
Submittals are approved prior to dredging.
An emergency contact list with 24 hour phone numbers is available for the
Inspector.
Contractor acknowledges agreement with Ports pre-dredge survey or provides his
own survey for review by the POLB before start of dredging.
Ask the contractor to submit his cross-sections, line and grade survey before sending
the Port Survey to fulfill contractors survey request.
Require the contractor to provide daily survey of dredged areas when working near
existing slopes to avoid slope undermining.
A post-dredge survey is conducted within 30 days of completion of dredging and
submitted to ACOE.
Page 6 of 13
3.3.1 - VER 01
3.3.1
Dredging
Page 7 of 13
3.3.1 - VER 01
3.3.1
Dredging
Page 8 of 13
3.3.1 - VER 01
3.3.1
Dredging
Figure 2: Clamshell
CMD Procedures Manual
3.3.01 - Dredging.docx
Page 9 of 13
3.3.1 - VER 01
3.3.1
Dredging
Page 10 of 13
3.3.1 - VER 01
3.3.1
Dredging
Page 11 of 13
3.3.1 - VER 01
3.3.1
Dredging
Page 12 of 13
3.3.1 - VER 01
3.3.1
Dredging
Page 13 of 13
3.3.1 - VER 01
3.3.2
Railroad Track
3.3.2 RAILROAD TRACK
a. Safety
Safety of the Inspector is of utmost importance during Railroad inspection. All involved in the
project must be committed to provide a safe work environment and contribute to the safe
performance of the job. During railroad construction, the Inspector shall at all times, wear his
Personal Protection Equipment. This shall consist of a hard hat, safety glasses, hearing
protection (ear plugs/ear muffs), safety vest for enhanced visibility and protective footwear
(steel toe boots).
The following procedures shall be followed for safe and effective inspection:
Do not park your vehicle within ten (10) feet of any track, either under construction or a
fully operational track.
Be alert and attentive at all times.
Never step on the rail when crossing a track. Rail, especially when wet, presents a
slipping hazard.
Do not place feet, hands or any other body part near moving parts of a switch, a derail,
a wheel Crowder or inside a switch point protector due to tripping and entrapment
hazards.
If working next to an operating track, do not walk down the middle of any operating
track.
Expect the movement of trains, engines, cars or other movable equipment at any time,
on any track and in either direction. Be alert of train and moving equipment at all times.
When crossing the tracks, look both ways and cross only when it is clear and safe to do
so.
Do not cross within 25 feet of the end of standing equipment.
Page 1 of 22
3.3.2 - VER 02
3.3.2
Railroad Track
When a contractor takes a track out of service for relocation, surfacing or for a tie-in,
the Inspector shall make sure that the contractor puts all the safety measures in place
before starting work. Make sure he follows his approved safety plan and implements
every safety measure in the plan; such as notifications, spiking & locking out switches
that crossover onto the track he is working on; placing red flags on the track &
communicating with the Terminal Rail Superintendent and Pacific Harbor Lines Railroad
(PHL).
When working on a main line, the contractor must use PHL flagmen/watchpersons. The
contractors approved safety plan will tell you what is required before he can start
work. During the construction meeting make sure everyone knows their responsibilities
during the track shut down.
An approved Contractor Safety Plan shall be a pre-requisite to the start of any field
work. The Inspector shall familiarize himself with contractors approved safety plan
and to the extent possible, observe and notify the contractor of work being
performed out of compliance with the plans. The contractor shall have primary
responsibility for safety at the job site. However, the Inspector is empowered and
urged to make sure that any activity involving the use of unsafe practices or tools is
discontinued as soon as possible and that all co-workers are warned of unsafe
conditions.
b. Materials Approvals
Prior to the delivery of materials to the jobsite, the Inspector shall thoroughly review the
specifications to identify contractor requirements for QC of materials fabricated off-site.
The Inspector shall obtain copies of all certifications, plant inspections, off-site test
results, and any documentation that indicates compliance with specifications
requirements. Additional off-site QA measures to be performed by the Port should be
identified in the ports QA plan for the project. The Inspector should arrange for and
verify that these additional QA requirements are satisfactorily completed. See subsection L for Materials QA Requirements at the end of this chapter.
c. Site Preparation
The Inspector shall be thoroughly familiar with the phasing plan before
beginning site preparation to avoid conflicts with terminal operations.
Prior to any railroad construction, usually there is demolition, existing utility work
(protection, relocation or removal), new utilities and grading (excavation, fill,
compaction and possibly strengthening with geo-synthetics) included in the
project. The inspector shall be responsible for monitoring all demolition work,
including but not limited to, asphalt removal and utility work.
Page 2 of 22
3.3.2 - VER 02
3.3.2
Railroad Track
The demolition limits shall be defined on the approved plans. Surveyors shall lay
out the demolition limits for the contractor.
Follow the approved plans and specifications as to demolition and utility
abandonment/relocation/protection.
After all removals and utility abandonment/relocation/protection has been
accomplished per approved plans and specifications, the contractor shall prepare
to build the roadbed (sub-grade), install track drains, geosynthetics, possibly
duct banks and vaults for future power operated switches and communications.
If temporary storage sites or fabrication areas are required, they shall be
prepared per plans, specifications and approved contractor submittals.
d. Unloading, Fabricating & Stacking Continuous Welded Rail (CWR)
If CWR is specified, there are two methods available to the contractor to provide
the CWR. Check the approved submittal as to what method is approved:
CWR delivery on a rail train.
Site fabrication of CWR, from generally 39'-80' long sticks, using electric
flash butt welding process.
One of these two methods can be used concurrently with the demolition or roadbed
construction.
CWR that is delivered on a dedicated rail train will typically be in excess of 1000
feet long.
Whatever method is used, a temporary storage site/fabrication should be
defined. Check the plans for the storage site location and if needed have surveys
stake the storage yard site limits, clear and prepare the site to meet
requirements (possibly including surfacing, fencing, power and water).
The contractor shall submit a list of equipment and methods to be used in
unloading the train and moving the CWR to the storage/fabrication site.
Typically a speed swing, a rubber tired articulated machine with a boom
attached on the front is used to pull the CWR off the train. The speed swing is
also designed to high rail and has flanged wheels similar to a train; this allows
it to travel on the track.
The speed swing is used in all track construction, the Inspector shall enforce that
the backup alarm is working at all times during track construction as with all
construction equipment.
The contractor shall use an approved method to move the CWR over existing
grade to the storage/fabrication site & also when pulling the CWR to its final
location during track construction.
Rollers and dunnage are used to support the CWR when it is being moved. When
moving CWR on rollers, care must be taken so as not to flip the CWR. The
inspector shall make sure the contractor has men on the ground observing the
movement of the CWR and that each member of the crew is thoroughly briefed
on the moving process and their individual tasks. If the CWR flips over, it can
cause a whiplash effect and care must be taken not to be too close to the end of
the rail. The CWR must be set back on the rollers in an upright position before
the contractor can continue pulling it.
CMD Procedures Manual
Page 3 of 22
3.3.2 - VER 02
3.3.2
Railroad Track
Prior to moving the CWR, inspect all the rollers with the contractor to make sure
they are greased & in good working condition.
VT
RMSM
2001 IIIIIII
The other side of the rail may have marked or indented characters. Following is an example:
FT
297165
B 12
CC
Page 4 of 22
3.3.2 - VER 02
3.3.2
Railroad Track
RAIL MARKING
FT indicates that the rail is fully heat treated. The numbers following FT indicate the
heat number from which the ingot is poured.
The letter B indicates that it is the second from the top of the ingot. This is followed by
the ingot number.
The specification may also call out for high strength rail to be used, typically on
approaches to curves and curves that are greater than 3. The high strength rail is
marked by either a metal plate permanently attached to the rail, hot stamped or painted
at both ends of the stick of rail. Check the submittal for painted color on the rail.
If onsite fabrication is used to produce the CWR, the welding contractor will set up an
onsite welding plant with grinding and testing stations.
Check the fabrication submittal for the layout of the welding plant and grinding and
testing stations.
Typically, the stations consist of an electric flash butt welding plant, a rail profile (head)
grinding station, a rail web grinding station, a rail base grinding station and a NDT
testing station.
The same care must be taken while moving and stacking CWR as was undertaken during
unloading and manufacturing CWR.
Check the CWR fabrication submittal, if required, for stacking requirements and make
sure that the contractor does not stack the CWR any higher than approved on the
submittal.
When laying CWR or any rail, the rail markings must be on the field side of the rail
(unless the rail is being transposed). The field side is the outside of the track. The gage
side is the inside of the track. The gage side is used to check the gage and level of the
completed track using a track gage/level.
Check the specification for rail markings and make sure the contractor lays the rail
accordingly.
If the contractor fabricates the CWR on site; he will stack his rail (typically 78 lengths)
adjacent to the welding machine. When the sticks of rail are unloaded and prior to
stacking, make sure that all rail markings are on the same side. If the rail is not stacked
in a way that all the markings will be on the field side of the CWR, the contractor will
have to turn it prior to welding. The inspector shall stop the CWR production until the
rail is aligned the correct way.
Page 5 of 22
3.3.2 - VER 02
3.3.2
Railroad Track
*The markings on the rail flange are designed to be on the field side (outside) of the rail for
inspection purposes. The numbers can be read while there is a parked train on the track.
If jointed rail is specified, this will typically come in 39 lengths of rail. When the rail is laid, it
will be attached by two joint bars per joint. The plans will specify how many holes per joint bar
and also will show a bolt pattern. The same principles will apply to laying jointed rail as CWR.
If crossing signals, track circuits for train-in-motion systems or track occupancy circuits are to
be included in the project, the plans will call out for insulated joints (I Js) to be installed. Check
the plans for the I J locations. When all I Js have been installed, they will be tested to make
sure the joint is properly insulated. Check the submittal for the approved I J. Typically, a field
fabricated I J comes in a box with two joint bars, fiberglass matting, epoxy, a spacer that
separates the two rails & bolt insulators. An alternate method is the use of pre-fabricated and
certified bonded insulated joint plug assemblies welded into the running rail. Installation of field
fabricated insulated joints shall only be installed by forepersons and crew qualified per the
specifications.
e. Unloading & Stacking Concrete & Wooden Ties
Concrete ties will typically be delivered on a train. When unloading the ties, care must be taken
as not to damage them. The contractor may use a boom truck or a crane to unload the ties.
Typically the ties are unloaded using a jig that attaches to five ties. The following procedure
shall be followed:
The Inspector shall confirm that the ties and fastening components match the test
reports per approved submittals.
The ties shall be stacked per approved submittal or as specified in the specifications.
Care must be taken not to stack them too high for weight and safety concerns.
Count and record the number of ties unloaded each day.
The concrete ties may have varying stamps and markings on them, make sure the
stamps and markings are per approved submittal. Every tie shall be visually inspected
for the following:
The bottom surface of each tie shall have a rough struck, leveled surface.
Projections from and indentations into the general level of the surface shall not
exceed 3/16".
Air voids in the side of ties up to " diameter by " deep are acceptable as is.
Voids larger than this size but less than 1 inch and " deep may not exceed
two per tie and can be repaired, if approved by the Engineer. Ties with air voids
larger than 1 inch and deeper than " are to be rejected.
The surface of the rail seat shall have a smooth, formed finish not inferior to the
comparison standards (two ties representing the required bottom surface finish
and two ties with maximum allowable rail seat defects shall be set aside as
comparison standards for acceptance of ties). No forms, seams or warpage in
the rail seat will be allowed.
The rail seat flatness shall not vary by more than 1/32" across any part of the
rail seat. When referring to voids and flatness in the rail seat area, the rail seat is
defined as area between the cast rail shoulders along width of the tie extending
" on each side of the cast rail shoulder.
CMD Procedures Manual
Page 6 of 22
3.3.2 - VER 02
3.3.2
Railroad Track
Corner breakage at tie ends shall not exceed 1" in depth below the finished
surface. Spalling over 2" shall be brought to Engineers attention before
rejection.
Prestressing tendons shall not protrude more than " beyond the tie end and
shall not have ragged ends causing handling hazard.
Holes in tie ends shall not exceed " in diameter and " in depth or " in
diameter and 1" in depth below the general surface level of concrete.
Surface cracks under 0.3 mm wide and 12" long are acceptable as is. Cracks over
0.3 mm wide and 12" long shall be reported to the Engineer for further
investigation and acceptance criteria.
Ties with honeycombing and large air voids are indicative of poor workmanship,
hence cannot be repaired and shall be rejected.
Grinding or shaving of ties with a jig is acceptable, if approved by the Engineer.
Freehand grinding shall not be allowed. The Engineer must approve any grinding
to correct surface finish deficiencies. Rail seat air void in excess of " diameter
and " depth is unacceptable. Those smaller may be repaired at the plant with
high strength epoxy paste. Filling of larger rail seat voids with fillers is not
acceptable. No rubbing, brushing or other treatment shall be used on the rail
seat.
Page 7 of 22
3.3.2 - VER 02
3.3.2
Railroad Track
Shake A separation along the grain, mostly between the rings of annual
growth. A shake not more than 1/3 the width of the tie and not extending within
1 of any surface is acceptable.
Slope of Grain Except in woods with interlocking grain, a slope in grain in
excess of 1 in 15 shall not be permitted.
Bark Seams A patch of bark partially or wholly enclosed in the wood not more
than 2 below the surface and/or 10 long is acceptable.
Checks A separation of the wood due to seasoning which appears on one
surface only (ends are not counted as surfaces). Ties with continuous checks
deeper than the thickness and longer than the length of the tie shall be
rejected.
Manufacturing Defects All ties must be straight, square sawn, Cut square at
ends, have top and bottom parallel and have bark entirely removed.
Page 8 of 22
3.3.2 - VER 02
3.3.2
Railroad Track
f. Special Track Work, Turnouts & Crossovers
Special Track work is a term in the specifications that includes the construction of Turnouts and
Crossovers.
A Turnout is a track that branches off one track to the right or to the left from a straight main
track. It is an arrangement of a switch and a frog with closure rails by means of which rolling
stock may be diverted from one track to another. A track diverting from the parent track to the
right is a right hand turnout, to the left is a left hand turnout and a track that diverges equally
is an equilateral turnout. The parent track may be straight or curved.
A Crossover is a track that links two tracks and gets the train from one track to the other
track. It is a combination of two turnouts in which the track between the frogs is arranged to
form a continuous passage between two parallel tracks. If the tracks are not parallel, it is
designated as a connecting track.
A turnout and a crossover consist of a series of components that make up the finished product.
These consist of a frog, a switch, a switch stand, a switch point protector, switch points, stock
rails, rail braces, tie and gauge plates, switch rods, connecting rods and guard rails.
A Frog is a track structure used at the intersection of two running rails to provide support for
wheels and passageways fir their flanges, thus permitting wheels on either rail to cross the
other. New construction in the Port generally requires rail manganese frogs (other types in use
include: bolted rigid; solid manganese; spring; and movable point). All frogs are size numbered
and the size of the frog being used determines the angle of the turnout. The frog number is
located on the side of the frog. Verify the delivery upon arrival with the approved submittal.
SWITCH
CMD Procedures Manual
Page 9 of 22
3.3.2 - VER 02
3.3.2
Railroad Track
A switch is comprised of a number of interacting components such as a switch point protector,
switch points, stock rails, rail braces, switch, frog, tie and gauge slide plates, switch rods,
connecting rods, guard rails and switch stand.
SWITCH ASSEMBLY
When building a switch, make sure the contractor is placing the switch ties in the right location
per approved plans. The switch ties are of varying length and are designed to be in a particular
location within the switch. Make sure that the switch stand is on the side shown on the plans.
The inspector shall check the gage of the rail periodically during construction of the switch &
when it is completed. All parts of a switch shall come from the same manufacturer. Mix and
match of parts from different manufacturers to build a switch (except for the switch stand a
device for manual operation of a switch or a derail or the switch machine a device for power
operation of a switch or a derail) shall not be permitted.
When a railroad track crosses a crane rail on a wharf, a special frog is needed. This is a
different type of frog than used on a railroad and shall be addressed in the specifications.
g. Precast Concrete Ties/Creosoted Timber Ties
The cross ties being used on most tracks within the Port are concrete ties with the exception of
switch ties, derail ties and transition ties, which are creosoted wood.
The transition ties are included in the track work before and after a switch, before and after
concrete grade crossing modules and a derail. Check the plans for the number of ties called out
in the transition.
The switch and transition ties will have tie plates spiked to them during construction. Check the
spiking pattern on the plans and do not let the contractor deviate from the approved spiking
pattern.
Page 10 of 22
3.3.2 - VER 02
3.3.2
Railroad Track
The gage on all track work is 4- 8 (56 ), the concrete tie gage is predetermined during
fabrication and the gage plates are incorporated into the tie.
The concrete cross ties will have varying stamps and markings on them. Make sure the stamps
and markings conform to the approved submittal.
During construction of a crossover and transition, the inspector shall inspect the ties as they are
being distributed on the ballast. The inspector shall inspect all wood ties for straightness and
shall reject ties that have defects such as, decay, large splits, large shakes, excessive grain
slope, large holes and large knots.
h. Preparing the Roadbed (sub-grade)
The contractor shall prepare the roadbed (sub-grade) as defined by the plans and
specifications. The inspector shall monitor the grading and shall arrange for a soils technician to
perform compaction tests. Refer to section 3.4.13 of this Manual for details.
Track Drain:
Monitor the excavation, installation and backfilling of the track drain. Check the submittal for
the approved geo-fabric material, drain pipe and type of rock specified for drainage. Check the
clean-outs for alignment, location and the finished elevation of the cleanout cover.
Geosynthetics:
Check the Geosynthetics upon delivery to confirm it is the approved product per the submittal.
When the Geosynthetics are rolled out on the roadbed, make sure the overlap on each roll is
per plans/specifications or manufacturers recommendations. In general, Geotextiles are used
for soil separation and Geogrids are used for strength. Refer to section 3.3.11 of this Manual
for details.
Check for tears when the sub-ballast is placed. The contractor must repair or replace any torn
Geotextiles.
Base/Sub-Ballast:
Typically the Base/Sub-Ballast will be CMB or CAB (see the submittal for approved material).
The Inspector shall monitor the placement and field testing of the sub-ballast. He shall arrange
for a soils technician to perform compaction and gradation tests. One gradation test shall be
performed for each 300 cubic yards or part thereof or per specifications. Gradation tests shall
be performed in accordance with procedures described in ASTM C 136.
Placing and spreading of sub-ballast shall be done with approved spreading equipments in
layers not exceeding 6 before compaction. Each layer shall be compacted to at least 97% per
Page 11 of 22
3.3.2 - VER 02
3.3.2
Railroad Track
ASTM D1557 before next layer is placed on. Hauling over the CMB surfacing in the process of
construction shall not be permitted unless approved by the engineer.
Ballast:
Check the submittal against the ballast delivery tickets.
Upon ballast delivery, the Inspector shall arrange for a soil technician to perform compaction
and gradation tests as required by the project specifications or AREMA (Generally one
gradation test for each 1000 tons of ballast). Gradation tests shall be performed in accordance
with procedures described in ASTM C 136.
When placing ballast, make sure the roller is constantly rolling the ballast as it is being placed
and graded. Lifts shall be no more than 4 thick except for the final track raise which shall not
exceed 2. Each layer shall be uniformly spread and compacted with no less than four passes.
The finished elevation for the ballast during this operation is usually within +/- 2 below bottom
of the tie elevation. When the track is built, the contractor shall raise the track by adding ballast
to top of rail elevation.
When the ballast is at +/- 2 below bottom of the tie elevation, the roller must continue to roll
the ballast until a ballast delivery truck can run on the ballast without causing a wave in the
ballast. This is the only way to check if the ballast is compacted enough to begin laying ties.
Ties:
When the ballast has been placed & compacted to +/- 2 below bottom of the tie elevation, the
contractor shall begin distributing the ties. Record the track number, and the beginning and
ending stations of the ties laid that day.
Check the survey stakes and make sure that the contractor is following the designed track
centers and tie spacing. Pull a tape from the survey stake and measure to the center of the tie.
Check the plans for track centers and tie spacing (generally 24" for concrete ties and 19 " for
timber ties). Check that the ties (concrete, timber cross ties, timber transition ties and turnout
ties) are located per plans.
Typically the ties will not be right on track center and will need minor adjustment when the
track is built.
Laying Rail:
After the ties are in place, the contractor will be ready to pull in the CWR. Prior to this, the rail
seat pads shall be inserted on the concrete ties. Check and make sure the correct rail seat pads
are in the correct location. Rail seat pads used on curves may be different than those used on
the tangent track.
Page 12 of 22
3.3.2 - VER 02
3.3.2
Railroad Track
The contractor shall follow the same procedure to pull the CWR along the ties as used when
unloading/fabricating the CWR.
Check the rail seat pads when the CWR is in place and reject any damaged pads.
After the rail is seated in place, the contractor shall start installing rail clips and insulators.
Check and make sure the correct rail is used on curves. Check the plans for the location of the
high strength rail.
Record the beginning and ending stations for the high strength rail.
Typically the turnouts and crossovers will be under construction during this time. Check the
survey stakes for track centers and tie spacing.
Destressing CWR:
The specification shall call out for the CWR to be destressed. This is done by heating or cooling
the rail as necessary to the desired laying temperature or by adjusting it mechanically and/ or
vibrating the rail. The rail shall be vibrated along its entire length during heating or after it has
achieved zero stress temperature to facilitate the relieving of internal rail stresses. The rail is
stretched to within 1" of its final location, anchored and then welded to another string of CWR.
Make sure the rail clips are in all the way and fully seated on the insulators and rail base.
Follow the specifications for the destressing procedure and record the air and rail temperature,
gap in the rail, time of destressing, length of CWR and any other measurements required to be
recorded per the specifications.
Thermite Welding:
Generally all field welds are done using the Thermite welding process; however, field welds may
be done by a portable flash butt welding unit on a rail mounted vehicle. The welder must be
certified by the rail welding kit manufacturer. The contractor shall submit the welders
credentials prior to welding. The manufacturers representative may certify the welders on site
also.
Check the weld package against the submittal prior to welding.
Make sure all welding procedures are in conformance with the specifications.
Record the location of each weld and make sure the welder follows all procedures during
and after the welding process.
Make sure the welder writes the weld information on the web of the rail as outlined in
the specifications.
Observe the weld grinding process and make sure all the slag has been removed from
the web and base of the rail.
All slag from the weld must be removed from the tie crib. The tie crib is the space
between the ties.
CMD Procedures Manual
Page 13 of 22
3.3.2 - VER 02
3.3.2
Railroad Track
The Inspector shall call the on-call testing lab for a UT technician to test each Thermite
weld.
Defective welds shall be repaired per the specifications.
THERMITE WELDING
i.
After the track has been built, the contractor shall raise and align the track. This is achieved
with a track tamper. The tamper is a piece of rail equipment that runs on the rail. The tamper
has vibrating paddles that are inserted between the tie cribs. The ballast is vibrated under the
ties for compaction.
A ballast car is used to supply ballast during this operation.
When the tamper is tamping the track, it is also raising the track to within +/- of
final top of rail elevation.
The specifications will call out how many insertions the paddles have to make between
the tie cribs and what portion of the cross ties and switch ties are to be tamped.
Coordinate among the track foreman and tamper operator that they are in agreement
on the correct number of insertions.
Page 14 of 22
3.3.2 - VER 02
3.3.2
Railroad Track
j. Final Track Raise & Alignment
Using the track tamper and a ballast regulator, the contractor shall finalize the track horizontal
and vertical alignment and dress the ballast surface.
The Ballast Regulator is a piece of track equipment that sweeps and shapes the ballast. The
regulator has a broom on the front and rear, the broom rotates to sweep excess ballast from
the track. The regulator also has fins on both sides; these are used to shape the ballast at the
shoulder of the tie.
Check the rail plans for the designed shoulder width and slope. The shoulder and slope
may be designed differently at various locations throughout the track.
When this operation is completed, check the slope on the ballast shoulder.
Check the tie spacing and alignment; advise the Track Foreman if adjustments are
needed.
Check that the rail clips are free from ballast, the contractor must remove all ballast
from inside the rail clips. This is important as it relates to track safety. If the ballast
covers the clips and the clips become loose, the track maintenance personnel from PHL
will not be able to see any loose clips during their track inspections.
Check that the switch rods are free from ballast to allow free movement and
adjustment.
Walkway Ballast:
Walkway ballast is smaller than track ballast, typically 1 versus 2 and is laid to a depth
of 4unless otherwise specified. Walkway ballast is laid around switches and any other areas
that require the switcher to walk on. Check the plans and specifications for walkway layout.
OTM:
OTM (Other Track Material) is a term used during track construction. OTM consists of all track
materials other than rail, ties, frogs, switches and switch stands needed to build a railroad
track. Basically, it is the small nuts and bolts type of materials used in track construction.
j.
Page 15 of 22
3.3.2 - VER 02
3.3.2
Railroad Track
When the track is completed, a final inspection walk shall be scheduled. Typically, this will
include all parties with a vested interest in the track, namely PHL, Terminal Operators, POLB
personnel, Project Designer etc.
The walk shall include but is not limited to, checking all bolted track, the operation of all
switches, switch target alignment, testing compressed air systems (if they are designed in the
project), checking walkway ballast, checking any washout of the ballast shoulder, checking for
tripping hazards etc.
During the testing period all personnel, equipment and materials necessary to make corrections
to the track shall be available for replacements, re-ballasting, resurfacing and realignment, or
repair of constructed items, as the Engineer may direct, to ensure proper completion of the
work in accordance with contract documents.
k.
Finally, stay SAFE and be alert at all times. Be aware you are on a railroad track or
working next to operating tracks.
Page 16 of 22
3.3.2 - VER 02
3.3.2
Railroad Track
Page 17 of 22
3.3.2 - VER 02
3.3.2
Railroad Track
Page 18 of 22
3.3.2 - VER 02
3.3.2
Railroad Track
Page 19 of 22
3.3.2 - VER 02
3.3.2
Railroad Track
What is a Frog? The first part of a turnout structure that will be considered is the frog. A
Frog is a device that permits flanged wheels running on a rail to cross another running rail
track structure used at the intersection of two running rails to provide support for wheels and
passageways for their flanges, thus permitting wheels on either rail to cross the other. Every
turnout must have a frog. In addition, turnouts are classed as to size of the frog. In determining
where a turnout is to be located, the position of the frog is determined first. All other parts of
the turnout are then located relative to the position of the frog.
Page 20 of 22
3.3.2 - VER 02
3.3.2
Railroad Track
FROG
Some turnouts are designed for operating trains on both routes at substantial speeds. Others,
such as a spur off a main line track, are designed for high-speed operation on one route and
low-speed on the other route. At other locations, such as in yards, they are designed for lowspeed operation only. Turnouts of various types and sizes are available to meet the
requirements of local conditions (speed and geometry). The size of a turnout will be considered
first. The sizes are usually stated in whole numbers. POLB uses only #8, #9, #10, #11, #15
and #20 turnout sizes. No other size shall be used unless approved by the Engineer. A track
may use one size or combination of multiple sizes as specified in the plans. Actually, these
numbers refer to the ratio of length to separation in the frog angle.
As the frog angle is of the utmost importance in determining the size of the turnout, which is
why this designation is used to indicate the size of the turnout. The frog angle is the angle
between the two gage lines of a frog and is used to designate the turnout.
In general, with a smaller frog angle the lead (distance from the point of switch to the "
point of frog pointed end of frog is machined back by " for increased strength) is increased
resulting in a greater radius which allows greater speeds through the diverging track. Turnouts
with larger numbers generally require more space and materials and are therefore cost more.
Page 21 of 22
3.3.2 - VER 02
3.3.2
Railroad Track
l.
Material
Contractor
Port
Contractor Contractor
Submittal
Contractor Independent
OnSubmittal
Test
Compliance
Certification
Inspection
Site
Required
Results
Confirmation
Report
Testing
Track Drain
Geo Fabric
Sub-Ballast
Track Ballast
Conc. Ties
Timber Ties
Rail
Walkway Ballast
Timber Tie
Treatment
Turnout/
Crossover
Frog
Switch
Clips
Insulators
Inspector shall assure each requirement is performed and date the appropriate shaded column
to signify compliance. This checklist shall be kept current and be available for review by CMD
Inspection Supervisors. At the completion of the project, this checklist shall be filed with the
Inspectors daily reports.
Note 1) Inspector shall verify or perform the plant inspection of concrete ties. POLB
Inspector (or his representative) shall verify there is a QC program in place at the plant.
(Initial/Date)
2) If a conflict exists between these requirements and the specifications requirements, the
specifications requirement shall generally take precedent. Discuss any such issue with the DCHE
I of Construction Management Division.
Inspector Signature
CMD Procedures Manual
Print Name
Page 22 of 22
3.3.2 - VER 02
3.3.3
Striping
3.3.3 STRIPING
INSPECTION CHECKLIST:
a. General and Preliminary
Are the required submittals of materials and equipment approved?
Is traffic control plan required?
b. Surface Preparation
Have the existing markings, if any, been removed by wet blasting?
Is the pavement surface dry and clean?
Is the air temperature above 40F?
The weather is not windy, foggy or humid?
Are the control points marked by survey?
Has the surface been mechanically wire brushed for Thermoplastic application?
Is the manufacturers recommended primer applied before Thermoplastic
application?
Has temporary center line been marked with string before start striping?
c. Paint Application
Check the paint containers with specifications and/or approved submittals for
conformity.
Is certificate of compliance accompanying the paint containers?
Is the paint mixed in accordance with manufacturers recommendations?
Is the striping machine capable of performing work without excessive stopping?
Is the striping machine capable of being guided within the straightness
tolerances per specifications?
Is the striping machine capable of producing curved lines without abrupt breaks?
Is the painting width adjustment working properly?
Page 1 of 3
3.3.3 - VER 01
3.3.3
Striping
Is the air pressure adequate on the machine?
Can the spraying produce a uniform film thickness?
Check the first coat is dry before applying subsequent coat. This can be achieved
by touching the first coat and checking for tackiness.
Are the markings with clean-cut edges and without running or spattering?
For Thermoplastic material application, check the material is dispensed between
400F 425F and/or per manufacturers recommendations. As a rule of thumb,
the paint will flow freely if the temperature is within specified temperature range.
If the paint has a brownish tint, it means it is too hot and starts to burn.
Check that the Thermoplastic material is applied by spray or extrusion method in
single uniform layer.
Check the thickness of Thermoplastic spray is 1/8 3/16. The Inspector shall
verify the computer thickness settings with the truck operator. Also, a thickness
gage shall be used frequently for thickness conformity.
Are all traffic stripes beaded in the final coat?
d. Pavement Markers Application
Check the surface is cleaned by blasting before marker application.
Check the markers are cemented to pavement with hot melt bitumen or
rapid set epoxy type adhesive. The Inspector shall visually confirm the material
during installation.
Check that the pavement is cured or seal coat is applied before markers
application.
Check non epoxy adhesive is used for non-reflective plastic markers.
e. Final Inspection and Testing
Check the paint for bleeding, curling or discoloring over bituminous surface.
Check that the drips, over sprays and improper markings are removed.
Check the straightness of stripes within a tolerance of in 50.
Check the gap and stripe length is within 2 of specified for broken stripes.
Check the width tolerance of stripes is within .
CMD Procedures Manual
3.3.03 - Striping.docx
Page 2 of 3
3.3.3 - VER 01
3.3.3
Striping
Page 3 of 3
3.3.3 - VER 01
3.3.6
Storm Drain
3.3.6 STORM DRAIN
INSPECTION CHECKLIST:
a. General and Preliminary
Check plan requirements, utilities and other substructures, pipe materials, joints,
bedding and traffic requirements.
Obtain and review copies of all required shop drawings.
Confirm Dig-Alert has marked utilities at site.
Confirm excavation permit has been issued to the contractor by CAL/OSHA, if
required.
Confirm contractors competent person is named.
Coordinate with POLB survey for staking of the line and necessary control.
Review soil borings report for soil conditions and recommendations for shoring
and ground water handling.
Review contractors approach for disposal of ground water. Confirm dewatering
method is per Planning Division guidelines.
Confirm Traffic Control Plan has been submitted and approved.
Coordinate inspection at the point of manufacture, if required.
If connecting to existing pipe or structure, confirm provisions are in place to
prevent debris from entering existing system.
b. Trenching
Check for maximum trench width and if line and grade control are satisfactory.
Confirm actual soil conditions agree with the plans and the approved shoring
method is adequate for the actual trench condition.
Confirm the spoil bank is clear of trench and does not encroach into traffic lanes
or tenant property.
Check subgrade to verify it is firm and unyielding. Consult with designer to
determine if imported bedding material is required
Check trench for evidence of unconsolidated fill.
CMD Procedures Manual
Page 1 of 5
3.3.6 - VER 01
3.3.6
Storm Drain
Page 2 of 5
3.3.6 - VER 01
3.3.6
Storm Drain
Confirm the T is oriented at the top or bottom when concrete pipe with
elliptical cage reinforcing is laid.
Confirm concrete pipe is being laid with proper joint space for caulking.
Confirm sleeve type coupling bands are tightened to required (recommended)
torque.
Check if joint mortar or mastic seal is required.
Confirm wyes and tees are accurately located and measured.
Confirm proper spur details for connections of laterals.
Confirm curves being laid in accordance with the plans requirements. Confirm if
beveled pipe is required, or if pulled joints are permitted. Check the maximum
joint space allowed.
Check for proper corrugated metal pipe (CSP or CAP), joint materials, and gage
of metal. Check the band couplers, style, width, gaskets or other requirements
for watertight joints (if required).
Check laying of corrugated metal pipe for proper location of longitudinal laps and
circumferential laps. Is space between adjoining pipes within allowable? Is band
coupler centered on the joint?
Check in-place pipeline for line and grade regularly during laying with light or
mirror.
Confirm additional bedding (if required) has been placed alongside and under the
haunches of the pipe after laying.
Confirm bedding (concrete or granular) is rodded or spaded so that it completely
fills all the space in the trench.
Confirm pipeline is shaded (backfilled to 1 over top of pipe with sand if trench
backfill is mechanically placed) with finer soil material.
Page 3 of 5
3.3.6 - VER 01
3.3.6
Storm Drain
Confirm abandoned pipes and conduits bricked up or sealed (if required).
Confirm corrugated metal pipe elongated before backfilling (if required), backfill
material compacted under haunches and along side of the pipe. Check that
method of compaction does not deform pipe beyond the requirements of
strutting or elongation.
Check that heavy equipment does not cross over corrugated metal pipe or other
pipe until there is sufficient backfill to distribute the load.
Check for maximum lift thickness for jetting or mechanical compaction.
Check jet pipe size and length is satisfactory and water supply is adequate.
Check spacing of jet pipe is adequate and trench backfill is saturated from top to
bottom (last 2-3 feet dry, mounded and rolled).
Check downstream manhole is open to check for leakage during jetting.
Verify required thickness of temporary paving has been spread and rolled.
e. Manholes and Structures
Confirm excavation size is sufficient for working room and sloped back or shored.
Check grading for bottom or invert slab is completed before reinforcing steel is
placed. Verify all loose soil is removed and subgrade is firm and unyielding.
Check concrete is at least 24 hours old before brickwork is laid or pre-cast units
are set.
Review requirements with manhole builder.
Verify pipe and pipe joints at the manhole provide for flexibility as required (see
COLB Standard Detail).
Check if pipe stubs are required and installed accurately.
Check if brickwork is laid with full head and bed joints, arches turned over all
pipes, shape of manhole, vertical wall height, taper (without bottleneck) and
opening size at top satisfactory.
Check channels and shelves for dimension, slope and finish.
Check for proper catch basin hardware, namely gratings, manhole ring and
covers etc. Are protection bars required?
Page 4 of 5
3.3.6 - VER 01
3.3.6
Storm Drain
Verify catch basin wall thickness is per plan. Check slope of invert slab.
Confirm provision is made for constructing catch basin deck with sidewalk
construction.
Verify forms for sidewalk culverts and other shallow culverts are designed for
satisfactory removal after placing concrete.
Check pre-cast manhole assembly. Confirm shape and size correct and
concentric or eccentric, as required. Check mortar joints between unit and at
bottom.
Check frames and covers for compliance, and cover seats in frame properly
without rocking. Check if inner cover is required or if locking cover is required.
f. Final Inspection and Testing
Check if air pressure testing is required and completed prior to permanent
resurfacing.
Verify traffic control is adequate prior to permanent resurfacing.
Confirm As-Built drawings have been completed to include location and elevation
of laterals etc. Confirm Port Survey has verified the As-Built.
Verify restoration of curbs, sidewalks and paving is completed.
Check concrete lateral connection and collars for complete stripping and finish
on the interior.
Verify manholes, catch basins and sewer are clean and free of debris, sewer
bypasses and plugs are removed.
Verify Daily Reports are completed including a list of uncompleted work.
Page 5 of 5
3.3.6 - VER 01
3.4.1
Reinforced Concrete
3.4.1 REINFORCED CONCRETE
a. Qualifications
It is the Deputy Inspectors (DIs) responsibility to verify that he or she has the appropriate
license or licenses for the project. For Port of Long Beach (POLB) projects not in the City of Los
Angeles (COLA) jurisdiction, he or she is required to have a current City of Long Beach Deputy
Inspector license for Reinforced Concrete. City of Long Beach requirements are included as an
Appendix to this Manual. Note that these requirements are subject to change and the most up
to date information may be obtained on the City of Long Beach website (www.lbds.info/forms).
The Reinforced Concrete Deputy Inspector must call the City of Long Beach Deputy Coordinator
immediately upon being assigned to the POLB work. If the POLB Lead Inspector calls out a
Deputy Inspector from our On Call Test Lab, he must verify at the earliest that the Deputy has
a current COLB Reinforced Concrete license and retain a copy of the license for his records. The
POLB Lead Inspector shall verify with the DI about his call to COLB Deputy Coordinator.
If the work being performed for the POLB is inside the City of Los Angeles, then the Reinforced
Concrete Deputy Inspector must possess a current COLA license. The POLB Lead Inspector
must verify that the On Call Test Lab Deputy Inspectors license is current and valid for the City
of Los Angeles and retain a copy of the license for his records. The On Call Test Lab Deputy
Inspector must also notify the COLA Building and Safety prior to start of inspection work. The
POLB Lead Inspector shall verify with the DI about his call to COLA Building and Safety.
b. Requirements Prior to Inspection
The Deputy Reinforced Concrete Inspector (DI) must verify that appropriate Building Permits
have been obtained. The DI must also verify that approved plans, specifications and submittals
are available at the project site.
c. Reinforcing Steel
The DI must verify that the reinforcing steel is of the specified grade and it is accompanied by
appropriate mill test reports. If the approved plans, specifications or building code (e.g. COLA)
require reinforcing steel to be tested before use, the DI must verify that the approved Testing
Agency has sampled the steel. This is indicated by tags attached to the bundles at the time of
sampling. If the steel has not been sampled, the DI must notify the contractor (and the POLB
Lead Inspector) that samples must be taken on site.
The DI must check the entire area to be inspected for compliance with the approved plans. All
deviations from the approved drawings (e.g. Substitution of 2-#4 bars for 1-#5 bar, splices at
changed locations, etc.) must be approved in writing by the Engineer.
Particular attention shall be paid to any typical details on the structural drawings. This is a
common location for typical details such as trim steel around openings, added reinforcement at
intersections, added reinforcement at construction joints, and required splice lengths etc.
CMD Procedures Manual
Page 1 of 6
3.4.1 - VER 01
3.4.1
Reinforced Concrete
In addition to reinforcing steel, the DI must check for embedded items. This includes items
such as anchor bolts, ledger angles, weld plates, etc. These items are often difficult to locate
on the plans and are frequently shown in sections other than the reinforcing steel sheets. The
DI shall obtain and use the approved shop drawings for embeds. It is imperative that the DI
checks the plans for any construction which will adjoin the area currently being inspected,
whether the adjoining construction is reinforced concrete, masonry, structural steel, etc.
Before approving an area as ready for concrete placement, the DI shall make an overall
assessment of the area. This will include the three Cs:
Coverage
Clearance
Cleanliness
This also includes adequate support for reinforcing steel such as chairs, concrete blocks or
spacers as required and verification that reinforcing steel is securely tied.
The DI must verify that construction joints are in locations as approved by the Engineer, and
are detailed as shown on approved plans or submittals. This may include items such as
keyways, mechanical load transfer devices (e.g. key cold connectors), added shear steel, etc.
Construction joints being installed at locations other than as shown on approved plans must be
approved by the Engineer.
d. Reports of Reinforcing Steel
The DI must write a complete report of the areas inspected and the condition of compliance.
The report must be thorough enough so that any interested party (subsequent concrete
placement inspector, Contractor, Engineer, Building Official, etc.) can easily and positively
determine what areas have been inspected and whether they were determined to be in
compliance and ready for concrete placement. If the permit granting jurisdiction requires a
particular form be used (for example, City of Los Angeles IN.Form.07), it is the responsibility of
the DI to complete the form and distribute it as required.
e. Requirements Prior to Concrete Placement
The DI must verify that the reinforcing steel has been inspected and approved by all required
authorities. This may include the Deputy Inspector, the POLB Lead Inspector, the City
Inspector, etc.
The DI must have an Approved Mix Design and verify that this Mix Design satisfies the Code
and Specification requirements. This does NOT mean that the DI shall review ingredients,
proportions, etc., but rather he or she verifies that the mix has an appropriate fc (compressive
strength) and is in compliance with other provisions of the specifications (maximum size
aggregate, slump, air content, etc.). The DI must verify that the Mix Design has been reviewed
and/or approved by an appropriate authority (Engineer, etc.). Note that in the City of Los
Angeles and the City of Long Beach, the Mix Design proportions must be set forth in a
Page 2 of 6
3.4.1 - VER 01
3.4.1
Reinforced Concrete
Statement of Mix Design for Concrete by a Civil Engineer or Architect registered in the State
of California.
The DI shall verify that the overall condition of the area in which concrete is to be placed is
acceptable. Conditions may easily change after the area has been accepted by the reinforcing
steel inspector.
The DI shall verify that appropriate equipment for placement is available and ready for use by
the contractor. This includes items such as concrete pumps, vibrators, tremies, etc.
The DI must possess the appropriate equipment for sampling and testing concrete. This
includes items such as cylinder molds, slump cone, scoop, tamping rod, wheelbarrow, shovel,
thermometer, weigh scale, and air meter.
f. Requirements During Concrete Placement
The DI must verify the information on the ready mix truck trip ticket. This includes the
verification of key information such as the mix design number, the compressive strength, the
water added at plant etc. In other words, the DI must ensure that the batch received is in
accordance with the mix design ordered.
The DI must keep an eye on the time of first water addition to the mix and the drum
revolutions to comply with the Building Code and project specification requirements. ASTM
C94-07 states Discharge of the concrete shall be completed within 90 minutes, or before the
drum has revolved 300 revolutions, whichever comes first, after the introduction of the mixing
water to the cement and aggregates or the introduction of the cement to the aggregates. The
90 minute time limit may be waived at the discretion of the DI if the 300 revolution limit is not
exceeded, the temperature of the concrete is within limits, and the concrete can be discharged
and properly placed without the addition of any mixing water.
The DI must sample and test concrete in accordance with applicable codes, plans and
specifications. All sampling and testing shall be performed in strict accordance with applicable
American Society for Testing of Materials (ASTM) specifications. This includes the requirement
of performing slump test each time compressive strength test cylinders are cast. The DI may
have an American Concrete Institute (ACI) certified Concrete Field Testing Technician to
perform the tests and to fabricate of the cylinder samples. It is the DIs responsibility to verify
that the Technician has a current certification card from ACI.
ASTM C31 includes the requirements for initial curing in air for concrete cylinders.
Compliance with this specification typically requires an insulated box for cylinder storage. This
box must be supplied by the Contractor or Concrete Subcontractor. If this box is not used for
the initial curing of cylinders then the contractor or concrete supplier can claim that low
compressive strength test results are the result of improper curing conditions.
Normally the DI will be given authority to perform water control duties by the POLB Lead
Inspector. So, based on the DIs slump test result, his visual observation and the maximum
water allowed per Approved Mix Design, he will decide if and how much water is to be added.
CMD Procedures Manual
Page 3 of 6
3.4.1 - VER 01
3.4.1
Reinforced Concrete
The DI must COMPLETELY fill out the cylinder data sheet. It is important and critical to report
the actual location of the concrete poured in the structure as represented by the test cylinders.
All other items on the data sheet must also be completely and accurately reported. The DI
must label the cylinders in agreement with their designation on the data sheets.
The Placement DI must verify that the conditions of the formwork, reinforcing steel coverage,
clearances, etc. are maintained in accordance with the approved plans and specifications and
applicable Building Codes. While these conditions should have been verified prior to start of
placement of concrete, the placement operations frequently disturb reinforcing steel and
formwork. The Placement DI must ensure that any deficiencies caused by these disturbances
are corrected.
The DI must verify that appropriate measures are employed to ensure adequate consolidation
of concrete. These measures may consist of rodding, internal vibration, external vibration, etc.
Please note that the vibrators are consolidation tools. They are not to be used for moving
concrete to its desired location. If there are any doubts as to the proper consolidation
procedures, please refer to ACI 309R. This document is available for review in the
Construction Management Division library.
The DI must ensure that the contractor takes adequate precautions to prevent segregation of
concrete. These measures include such items as:
(i)
Placement of concrete as near as possible to its final destination.
(ii)
Minimizing the vertical drop of concrete when placing concrete in walls, piles,
etc.
(iii)
Minimizing, as far as possible, segregation caused by dropping concrete through
multiple layers of reinforcing steel.
The DI must verify that placement methods employed are such as to minimize the likelihood of
cold joints. The placement sequence, staging of ready mix trucks, etc. are a few operations
to consider. If cold joints occur despite such precautions, their locations must be noted on the
inspection report.
g. Requirements After Concrete Placement
The DI must verify that any requirements for curing shown on the approved plans and
specifications are implemented. These may include spraying with a membrane forming curing
compound, burlap curing, water spraying curing, etc.
h. Reports of Concrete Placement
The DI must write a complete report of the areas inspected. The DI shall write a separate non
compliance report for incomplete work of non compliant area. If the permit granting
jurisdiction requires a particular form be used (for example, City of Los Angeles IN.Form.07), it
is the responsibility of the DI to fill the report forms and distribute them as required. The POLB
Lead Inspector shall retain copies of DIs reports for his records.
CMD Procedures Manual
Page 4 of 6
3.4.1 - VER 01
3.4.1
Reinforced Concrete
i.
Inspection Checklist
1) Concrete Mix Verification
Verify that concrete is batched based on approved mix design with correct
water/cement ratio, cement type, aggregates and admixtures.
Verify that the batch weights are recorded on the trip ticket.
Determine that mixer truck trip ticket specifies mix in truck is the approved mix.
Verify that the total water added to the mix does not exceed that allowed by the
approved mix design and is of acceptable quality.
Verify that concrete mixing and placing equipment at the site is adequate.
Verify that the quality of the concrete is indicative of adequate mixing time,
consistency and relevant time limits.
2) Reinforcing Steel
Verify the mill certificates are provided and show the correct grades.
Verify grade and visual conformity of rebar with approved plans/specs.
Verify that rebar is free of oil, dirt, excessive rust and handling damage.
Verify that rebar is adequately tied, chaired and supported to prevent
displacement during concrete placement.
Verify minimum and maximum clear distances between bars and minimum
concrete cover.
Verify minimum concrete cover is maintained between rebar and the surface of
the concrete.
Verify size and spacing of rebar.
Verify bar laps for proper length and stagger, bar bends for minimum diameter
slope and length.
Verify that welding of rebar, if any, is approved and properly inspected.
3) Concrete Formwork and Embedded Items
Verify proper preparation of construction joint surfaces prior to placing.
Verify that the formwork is tight to prevent leakage and will result in a final
structure with correct shape and member size.
Verify that embedded items are properly sized and placed.
Ask for shop drawings for embed placement.
Ensure the Electrical and Mechanical sign off in the pour.
4) Concrete Preparation and Placement
Verify acceptable general condition of the concrete base prior to placement.
Verify that the concrete base is properly wetted and standing water is removed
before concrete is placed.
Verify that concrete conveyance and depositing avoids segregation due to
handling or flowing.
Verify that concrete is properly consolidated.
Page 5 of 6
3.4.1 - VER 01
3.4.1
Reinforced Concrete
Page 6 of 6
3.4.1 - VER 01
3.4.14
Asphalt Paving
3.4.14 ASPHALT PAVING
a. Qualifications
A Port of Long Beach Construction Inspector may perform asphalt paving inspection if
experienced and qualified in the opinion of Chief Construction Inspector. No additional
certification from the City of Long Beach is required.
b. Requirement Prior to Asphalt Concrete Paving (New Construction)
It is desirable to hold a pre-paving meeting (see attached typical agenda listing desired
attendees) with the contractor prior to asphalt paving operations. The points of discussions
should include the continuity and sequence of operations, number of pavers needed, number
and types of rollers, number of trucks required, and reasons for possible rejection of the mix,
weather and temperature requirements, truck staging and traffic control. Prior to start of
paving, the Inspector must verify that the subgrade is compacted firm, dry, smooth, stable and
unyielding. The contractor is responsible for meeting and maintaining the final CMB grades. The
final grades must be certified by the POLB Survey team. The elevation of manholes and other
structures shall be verified for finish grades. All equipment to be used in the asphalt paving
operation shall conform to the specifications and shall be approved by the Engineer. All
equipment shall be functioning properly. The Inspector shall have copies of and become familiar
with the approved submittals and approved mix design. The inspector shall ensure that tack
coat, prime coat or paint binder is being applied properly. The contact surfaces of all cold
pavement joints, curbs, gutters, manholes, and any other structure shall receive a similar
coating. Adequate distance in advance of paving operation shall be maintained. The inspector
must verify the installation of header upon the line of termination of pavement per plans and
specifications. Asphalt concrete shall not be placed unless the atmospheric temperature is at
least 50F and rising.
c. Requirement Prior to Asphalt Concrete Paving (Grind and Overlay)
The Inspector shall verify that the milling machine conforms to the approved submittal. A
smaller machine shall be available at project site for areas inaccessible to the larger machine.
The contractor shall sweep the roadbed with a mechanical sweeper and remove all loosened
material from the surface. All necessary measures shall be taken to avoid dispersion of dust.
The POLB shall mark the existing locations of traffic loop detectors. The contractor shall not
grind within 12 of loop detector conductors. Any damage to the existing loops caused by the
contractor shall require replacement of the loop. Structures and vertical joints transverse to
through traffic and greater than 1 shall be ramped with temporary asphalt concrete
pavement. The Inspector must verify that the surface of pavement after grinding shall be
uniformly rough grooved or ridged as required by approved plans and specifications. The
CMD Procedures Manual
Page 1 of 7
3.4.14 - VER 01
3.4.14
Asphalt Paving
surface shall be free from any loose material. Manholes and structures shall be raised to the
new grades. Any disintegrated or spalled areas or large cracks encountered in grade
preparation, not covered by the approved plans, shall be reported to the Engineer for further
action. All equipment to be used in the asphalt paving operation shall conform to the
specifications and approved submittals. All equipment shall be functioning properly.
The Inspector shall have copies of the approved submittals and approved mix design. The
inspector shall ensure that tack coat, prime coat or paint binder is being applied properly. The
contact surfaces of all cold pavement joints, curbs, gutters, manholes, and any other structure
shall receive a similar coating. Adequate distance in advance of paving operation shall be
maintained.
d. Requirements During Asphalt Concrete Paving
Spreading The asphalt concrete as delivered shall be deposited directly into the hopper
of the spreading and finishing machine. Spreading, once started, must be continued without
interruption. No greater amount of material shall be delivered in any day that can be
properly spread and rolled during that day. With the prior approval of the Engineer, the
contractor may use bottom dump trucks to deposit the asphalt concrete into a uniformly
sized windrow and then conveyed to the spreading machine. The Inspector shall verify the
load tickets for correct mix design and binder grade. The Inspector must collect the load
tickets from each truck at the point of discharge.
The temperature of the mixture directly behind the paving machine shall not be lower than
270F or higher than 320F, the lower limit to be approached in warm weather and the
higher limit in cold weather. Any material not meeting the temperature requirements shall
be immediately removed from the site.
Rolling Asphalt concrete shall be thoroughly compacted by rolling. The number of
rollers with operators used with each paving operation shall not be less than specified in
table below:
Rollers required
Tons Placed per Hour
Less than 100
100 to 200
201 to 300
More than 300
Compacted Thickness
1 or less
More than 1
1
1
2
2
3
2
3
3
Tandem or vibratory rollers shall be used for initial/breakdown rolling. Tandem, vibratory or
pneumatic tired rollers shall be used for second/intermediate rolling. Finish rolling shall be
performed by static or vibratory steel rollers in static mode. Other rollers may be used
subject to prior approval of the Engineer. No leakage of petroleum products from any roller
shall be allowed to come in contact with pavement being constructed. The surface of all
CMD Procedures Manual
Page 2 of 7
3.4.14 - VER 01
3.4.14
Asphalt Paving
roller wheels shall be treated with sufficient water to prevent the pickup of bituminous
materials, but under no circumstances shall the quantity of water used be detrimental to the
surface of the pavement being rolled. Wobble-wheel rollers shall not be permitted.
Breakdown, Intermediate and Finish Rolling As soon as the layer of asphalt concrete has
been placed, breakdown rolling shall commence. The layer of asphalt shall still have an
internal temperature greater than 260F and shall not displace under the roller. When
vibratory rollers are used, they shall operate at the highest frequency possible without
breaking rock. All breakdown and intermediate rolling shall be completed prior to the
surface of the mat reaching 180F. Rolling shall be continued until the pavement layer has
become thoroughly compacted throughout and is true to grade and cross section. Finish
rolling shall be performed by static or vibratory steel rollers in static mode. The finish rolling
shall remove all marks from the surface of the mat. All finish rolling should be completed
prior to the asphalt temperature falling below 175F.
Proper Rolling Techniques for Compaction When compacting lifts 4" or less in compacted
thickness, rolling shall be commenced along the lower edge of the area to be rolled and
continued until the edge is thoroughly compacted, after which the roller shall be gradually
advanced to the crown point, both sides being rolled in a like manner.
For lifts greater than 4" in compacted thickness, rolling shall be commenced in the middle of
the mat, after which the roller shall be gradually advanced to both edges. The roller should
be advanced to a supported edge first, if applicable. Rolling of unsupported edge may be
delayed provided the required densities are obtained after the completion of the finish
rolling.
Paving Joints The Longitudinal Joint or edge of paving in the first lane should have a
near vertical face. In laying the first lane; the stringline, curb or other reference line must
be used to guide the paver.
When the adjoining lane is not placed the same day, the edge of the lane should be
carefully trimmed and applied with a thin coating of emulsified asphalt. The first lane should
be overlapped by adjoining lane by 1" to 2". The overlap thickness should be the desired
compacted thickness.
The Transverse Joint should be straight edged to assure smoothness and true alignment. A
vertical face transverse joint can be constructed either by using a bulkhead or sawing the
paving. In either case, the transverse joint should be applied with a thin coating of
emulsified asphalt before the fresh material is placed against it.
New Classification of Binders GREENBOOK 2009 Ed. (SSPWC) has replaced existing
AR (Aged Residue) grading system for asphalt binders with PG system (Performance
Graded). The following table gives approximate substitution of AR grades with new PG
grades:
AR Grading
AR 4000
AR 8000
AR 16000
PG Grading
PG 64-10, PG 64-16
PG 64-10, PG 64-16, PG 64-28
PG 70-10
Page 3 of 7
3.4.14 - VER 01
3.4.14
Asphalt Paving
The table above is only for reference and in no way to be used as a substitution by the
Inspector. The Inspector shall follow the approved mix design for the project. AR grades are
obsolete in California. Appropriate PG grade will be selected by the design engineer. The
Inspector shall check the load tickets for proper PG grade asphalt binders.
Definition: (PG 60-10)
PG Performance Grade
60 Average 7-day Maximum Pavement temperature in C
10 Minimum Pavement Temperature in C
e. Possible Causes of Rejection of a Load at the Site
The following deficiencies may justify the rejection of the load:
Too Hot Blue smoke rising from the mix usually indicates an overheated batch. The
temperature of the batch should be checked immediately, preferably with infrared
thermometer. If the batch temperature exceeds the maximum limit, it should be
rejected. If the temperature does not exceed the maximum limit, the batch may be
used. But the contractor should be alerted to correct the condition for future batches.
Too Cold A stiff appearance of mix or lack of bitumen coating of larger aggregates
indicates a cold mix. The temperature should be checked immediately. If it is below the
minimum limit, the batch should be rejected.
Too Much Bitumen When a load is not domed up or peaked in the delivery truck,
but rather flat, it may contain too much bitumen. Mix slicking off under the screed also
indicates excessive bitumen. Area receiving such a load shall be sampled and tested.
Too Little Bitumen If a mix has a lean, granular appearance, improper coating and
lack of typical black shiny luster; the mix doesnt have enough bitumen. The pavement
surface has a dull, brown appearance and roller does not compact it satisfactorily.
Generally this deficiency is difficult to detect, but when in doubt, check by testing the
area.
Non-Uniform Mixing Non-uniform mixing is spotted as lean, brown, or uncoated
dull-appearing patches within areas of rich, shiny appearance. Such areas shall be
repaired with the Engineer approved procedure.
Excess Coarse Aggregate A poor workability of the mix indicates the excessive
presence of coarse aggregates. It is easily detected when the mix is spread over the
surface. Such areas shall be repaired with the Engineer approved procedure.
Excess Fine Aggregate A different texture than a well graded mix indicates the
excessive presence of fine aggregates. Such areas shall be repaired.
Excessive Moisture Steam rising from the mix as it is dumped into the hopper
indicates excessive moisture in the mix. It may be bubbling or popping as if it were
boiling. Such batch may be rejected.
Miscellaneous Segregation of the aggregates due to improper handling,
contamination of batch due to spilled gasoline, kerosene, oil or anything else should
cause the rejection of the batch.
For the above mentioned observations of non-compliant material, the field Inspector must
call the plant Inspector immediately. The Inspector must record the load number and the
Page 4 of 7
3.4.14 - VER 01
3.4.14
Asphalt Paving
area of rejected batch in his daily report. The Inspector shall issue a non conformance
notice for rejected work.
f. Compaction Testing of Asphalt Paving
The POLB Inspector shall call for a technician from the Port on-call testing Lab assigned to the
project. The field density of compacted asphalt paving shall be determined by a properly
calibrated nuclear asphalt gage and cores shall be taken for lab testing. The laboratory
technician shall perform 255 random nuke tests per day. A minimum of 4 cores or as required
by the specifications shall be taken for testing per day. The cored areas shall be repaired
immediately per specifications. The minimum compaction shall be 95% or as required by the
specifications. Other tests, namely Marshall Stability Test, % Asphalt Content test, Gradation
Test, Air Voids test, and Maximum Density test may be required by the Engineer.
g. Acceptance of the Asphalt Paving
Upon completion, the pavement shall be true to the grade and cross section. A longitudinal
variation of no more than in 10 ft and a transverse variation of no more than in 10 ft
shall be allowed. After the curing, the contractor shall perform a flood test, if required by the
specifications, to check the local depressions on the pavement. Any honeycombed surfaces or
depressions shall be repaired before acceptance. The Inspector shall verify that seal coat, if
required, is applied properly and asphalt surface is well sealed.
Good housekeeping shall be maintained during construction. Discarded mix, boards, trash,
broken equipment parts or hand tools shall be removed on a daily basis. A final cleanup shall be
made before de-mobilization.
h. Painting/Striping
Paint shall not be applied to bituminous surfaces at least for 7 days after the bituminous
material has been placed. It shall be applied only on thoroughly dry surfaces. Painting shall not
be permitted when atmospheric temperature is at or below 35F, or when freshly painted
surfaces may become damaged by rain or condensation. No paint thinners shall be added to the
paint. Mechanical mixers shall be used to mix the paint. Paint shall be kept thoroughly mixed
while being applied. Paint shall not bleed, curl, or discolor when applied to bituminous surfaces.
Any unsatisfactory areas shall be repainted before final acceptance.
Page 5 of 7
3.4.14 - VER 01
3.4.14
Asphalt Paving
Page 6 of 7
3.4.14 - VER 01
3.4.14
Asphalt Paving
Page 7 of 7
3.4.14 - VER 01
Volume 4 - Safety